Joseph A. Osha
Professional summary
Joseph Amil Osha, CFA, who also goes by Joseph A Osha, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in San Francisco, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Amil Osha's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2021 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 601 California Street, Suite 610, San Francisco, CA 94108June 10, 2016 - April 14, 2021
CITIZENS JMP SECURITIES, LLC
September 23, 1997 - November 21, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/14/2021)
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(5/21/2021)
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(4/27/2021)
(5/4/2021)
(4/14/2021)
Exams
FINRA
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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