Patrick J. O'hara

BARINGS SECURITIES LLC

CHARLOTTE, NC 28202

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CRD#: 2961077

Professional summary

Patrick J O'hara, who also goes by Patrick J Ohara, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2013. Patrick has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick J Ohara

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick J O'hara's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 11, 2018 - Present

BARINGS SECURITIES LLC

Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202

CRD#: 36929

CHARLOTTE, NC

Past

January 3, 2014 - August 23, 2016

GRV SECURITIES LLC

CRD#: 138348

AUSTIN, TX

Past

August 29, 2013 - January 15, 2014

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/11/2018)

Alaska
(1/11/2018)

Arizona
(1/11/2018)

Arkansas
(1/11/2018)

California
(1/11/2018)

Colorado
(1/11/2018)

Connecticut
(1/11/2018)

Delaware
(1/11/2018)

District of Columbia
(1/11/2018)

Florida
(1/11/2018)

Georgia
(1/11/2018)

Hawaii
(1/11/2018)

Idaho
(1/11/2018)

Illinois
(1/11/2018)

Indiana
(1/11/2018)

Iowa
(1/11/2018)

Kansas
(1/11/2018)

Kentucky
(1/11/2018)

Louisiana
(1/11/2018)

Maine
(1/11/2018)

Maryland
(1/11/2018)

Massachusetts
(1/11/2018)

Michigan
(1/11/2018)

Minnesota
(1/11/2018)

Mississippi
(1/11/2018)

Missouri
(1/11/2018)

Montana
(1/11/2018)

Nebraska
(1/11/2018)

Nevada
(1/11/2018)

New Hampshire
(1/11/2018)

New Jersey
(1/11/2018)

New Mexico
(1/11/2018)

New York
(1/11/2018)

North Carolina
(1/11/2018)

North Dakota
(1/11/2018)

Ohio
(1/11/2018)

Oklahoma
(1/11/2018)

Oregon
(1/11/2018)

Pennsylvania
(1/11/2018)

Rhode Island
(1/11/2018)

South Carolina
(1/11/2018)

South Dakota
(1/11/2018)

Tennessee
(1/11/2018)

Texas
(1/11/2018)

Utah
(1/11/2018)

Vermont
(1/11/2018)

Virginia
(1/11/2018)

Washington
(1/11/2018)

West Virginia
(1/11/2018)

Wisconsin
(1/11/2018)

Wyoming
(1/11/2018)

Exams

State Security Law Exam

Series 63

Date: 12/12/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BARINGS SECURITIES LLC

BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

300 S. Tryon Street Suite 2500, Charlotte, NC 28202

Mailing Address

300 S. Tryon Street Suite 2500, Charlotte, NC 28202

Phone number

(704) 805-7200

Established

Delaware since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BARINGS LLC	DIRECT OWNER	106006
DINERMAN, JILL ELYSE	CLERK AND SECRETARY
FRANCIS, SHELDON MAURICE	DIRECTOR
LLOYD, ERIC JAMES	PRESIDENT	2314965
TAWA, DEREK MICHAEL	CHIEF COMPLIANCE OFFICER	3054098
THOMAS, CHRISTOPHER COLIN	TREASURER	7050594

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Patrick J. O'hara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick J O'hara's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARINGS SECURITIES LLC

GRV SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/2013

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2013

FINRA

Current Firm

BARINGS SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BARINGS SECURITIES LLC

TRUST BUT VERIFY

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