SO
Simon O'shea
BALLAST ROCK CAPITAL LLC
Charleston, SC 29403
Some features on this profile are disabled
CRD#: 4433957
SO
Professional summary
Simon O'shea, who also goes by Simon O'shea, Simon Oshea, is a registered financial professional currently at BALLAST ROCK CAPITAL LLC located in Charleston, South Carolina.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2023. Simon has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Simon O'shea | Simon 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.
CRS (Client Relationship Summary) - BD
Click below to view Simon O'shea'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®
NoneExperience
Current
July 31, 2023 - Present
BALLAST ROCK CAPITAL LLC
Office #1: 460 King Street Suite 200, Charleston, SC 29403BD
CRD#: 322170
Charleston, SC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/31/2023)
RR
Alaska(7/31/2023)
RR
Arizona(7/31/2023)
RR
Arkansas(7/31/2023)
RR
California(7/31/2023)
RR
Colorado(7/31/2023)
RR
Connecticut(7/31/2023)
RR
Delaware(9/12/2023)
RR
District of Columbia(10/11/2023)
RR
Florida(7/31/2023)
RR
Georgia(7/31/2023)
RR
Hawaii(8/23/2023)
RR
Idaho(7/31/2023)
RR
Illinois(9/15/2023)
RR
Indiana(7/31/2023)
RR
Iowa(7/31/2023)
RR
Kansas(8/3/2023)
RR
Kentucky(7/31/2023)
RR
Louisiana(7/31/2023)
RR
Maine(7/31/2023)
RR
Maryland(7/31/2023)
RR
Massachusetts(7/31/2023)
RR
Michigan(7/31/2023)
RR
Minnesota(8/9/2023)
RR
Mississippi(7/31/2023)
RR
Missouri(12/5/2023)
RR
Montana(7/31/2023)
RR
Nebraska(7/31/2023)
RR
Nevada(7/31/2023)
RR
New Hampshire(8/24/2023)
RR
New Jersey(7/31/2023)
RR
New Mexico(12/1/2023)
RR
New York(7/31/2023)
RR
North Carolina(7/31/2023)
RR
North Dakota(7/31/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(7/31/2023)
RR
Oregon(7/31/2023)
RR
Pennsylvania(7/31/2023)
RR
Puerto Rico(7/31/2023)
RR
Rhode Island(7/31/2023)
RR
South Carolina(7/31/2023)
RR
South Dakota(7/31/2023)
RR
Tennessee(8/10/2023)
RR
Texas(7/31/2023)
RR
Utah(7/31/2023)
RR
Vermont(8/3/2023)
RR
Virginia(7/31/2023)
RR
Washington(7/31/2023)
RR
West Virginia(7/31/2023)
RR
Wisconsin(7/31/2023)
RR
Wyoming(7/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/31/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BR
BALLAST ROCK CAPITAL LLC
BALLAST ROCK CAPITAL LLC
CRD#: 322170 / SEC#: , 8-70943
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
460 King Street Suite 200, Charleston, SC 29403
Mailing Address
460 King Street Suite 200, Charleston, SC 29403
Phone number
(516) 998-5322
Established
Delaware since 05/05/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
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.
