Patrick M. Ohagan
Professional summary
Patrick Michael Ohagan, who also goes by Patrick Michael O'hagan, Patrick Ohagan, is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2000. Patrick has worked at 8 firms and has passed the Series 66, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Michael Ohagan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2014 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019March 4, 2014 - April 21, 2014
MORGAN STANLEY
June 1, 2009 - April 21, 2014
MORGAN STANLEY
November 6, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 15, 2007 - November 14, 2007
UBS FINANCIAL SERVICES INC.
February 5, 2007 - March 7, 2007
NATIONAL SECURITIES CORPORATION
March 31, 2004 - January 27, 2005
LADENBURG THALMANN ASSET MANAGEMENT INC
July 19, 2002 - January 27, 2005
LADENBURG THALMANN & CO. INC.
March 30, 2001 - January 10, 2002
WINDSOR CAPITAL ADVISORS, LLC
July 17, 2000 - March 9, 2001
ROBERTSON STEPHENS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/29/2016)
(1/29/2016)
(8/14/2024)
(2/28/2023)
(5/27/2025)
(4/17/2014)
(1/27/2025)
(4/17/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/6/2001
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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