M L. Oshea

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CRD#: 353846

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

M Lester Oshea, who also goes by Martin Lester Oshea, was a registered financial professional .

M is a previously registered financial professional and started their career in finance in 1970. M had worked at 1 firm and has passed the Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Martin Lester Oshea

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 10, 1970 - May 19, 1980

O'SHEA & CO., INC.

CRD#: 5293

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 1

Date: 4/6/1964

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 5/7/1970

Registered Principal Examination

Current firm

No current employment

Red Flags

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

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