Walter D. Oshea
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.
Walter Dennis Oshea, who also goes by Dennis Oshea, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1965. Walter had worked at 21 firms and has passed the Series 63, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2003 - February 6, 2013
J.P. TURNER & COMPANY, L.L.C.
August 5, 1997 - June 16, 2003
JAMES WHEELER & CO. INVESTMENTS, INC.
January 6, 1997 - August 15, 1997
CRISPIN KOEHLER SECURITIES
July 31, 1995 - December 5, 1996
BARRON CHASE SECURITIES, INC.
February 19, 1993 - June 30, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
May 18, 1992 - January 29, 1993
SMITH, BENTON & HUGHES, INC.
July 25, 1991 - April 15, 1992
DICKINSON & CO.
September 21, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
December 23, 1989 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
December 5, 1989 - December 23, 1989
ADVENT SECURITIES, INC.
August 26, 1985 - November 28, 1989
MARSHALL DAVIS, INC.
June 4, 1984 - August 12, 1985
QUINN & CO., INC.
September 2, 1983 - May 22, 1984
B. J. LEONARD AND COMPANY, INC.
August 9, 1983 - August 22, 1983
FIRST COLORADO INVESTMENTS & SECURITIES, INC.
April 22, 1982 - August 11, 1983
RICHEY, FRANKEL & COMPANY
January 19, 1981 - April 5, 1982
WHITAKER, BAUERLE & COMPANY, INC.
May 28, 1978 - January 19, 1981
AMERICAN WESTERN SECURITIES, INC.
November 26, 1976 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
May 17, 1972 - October 4, 1976
INSTITUTIONAL SECURITIES OF COLORADO, INC.
March 29, 1971 - June 15, 1972
B.C. CHRISTOPHER SECURITIES CO.
August 31, 1965 - April 30, 1971
BACHE & CO., 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
Exams
Series 1
Date: 8/30/1965
Registered Representative ExaminationSeries 8
Date: 8/27/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
