Shawn P. O'shaughnessy

LODAS SECURITIES

St Louis, MO

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CRD#: 4526742

Professional summary

Shawn Patrick O'shaughnessy, who also goes by Shawn Patrick Oshaughnessy, Shawn Oshaughnessy, is a registered financial professional currently at LODAS SECURITIES, LLC located in St Louis, Missouri.

Shawn is registered as a RR (Registered Representative) and started their career in finance in 2002. Shawn has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shawn Patrick Oshaughnessy | Shawn Oshaughnessy

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 Shawn Patrick O'shaughnessy's CRS (Customer Relationship Summary).

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

April 27, 2022 - Present

LODAS SECURITIES, LLC

CRD#: 313056

St Louis, MO

Past

August 20, 2021 - March 28, 2022

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

May 1, 2020 - June 18, 2021

GROWTH CAPITAL SERVICES, INC.

RIA

CRD#: 124658

Saint Louis, MO

Past

May 1, 2020 - June 18, 2021

GROWTH CAPITAL SERVICES, INC.

CRD#: 124658

CLAYMONT, DE

Past

September 5, 2018 - September 1, 2020

ARETE WEALTH ADVISORS, LLC

RIA

CRD#: 145488

Clayton, MO

Past

August 30, 2018 - April 6, 2020

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

Clayton, MO

Past

December 11, 2015 - August 27, 2018

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

October 9, 2014 - December 4, 2015

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

NEW YORK CITY, NY

Past

November 7, 2012 - September 15, 2014

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

May 16, 2002 - October 18, 2012

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

ST. LOUIS, MO

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
(3/5/2024)

Alaska
(3/5/2024)

Arizona
(5/16/2023)

Arkansas
(3/5/2024)

California
(5/16/2023)

Colorado
(3/5/2024)

Connecticut
(6/14/2024)

Delaware
(6/16/2023)

District of Columbia
(3/5/2024)

Florida
(5/16/2023)

Georgia
(3/5/2024)

Hawaii
(1/2/2025)

Idaho
(1/2/2025)

Illinois
(5/26/2023)

Indiana
(10/5/2022)

Iowa
(2/7/2024)

Kansas
(4/27/2022)

Kentucky
(3/5/2024)

Louisiana
(3/5/2024)

Maine
(1/2/2025)

Maryland
(6/16/2023)

Massachusetts
(3/5/2024)

Michigan
(3/5/2024)

Minnesota
(3/5/2024)

Mississippi
(1/2/2025)

Missouri
(5/16/2023)

Montana
(1/2/2025)

Nebraska
(6/14/2024)

Nevada
(2/7/2024)

New Hampshire
(6/14/2024)

New Jersey
(3/5/2024)

New Mexico
(6/14/2024)

New York
(3/5/2024)

North Carolina
(3/5/2024)

North Dakota
(6/14/2024)

Ohio
(6/15/2024)

Oklahoma
(1/2/2025)

Oregon
(6/14/2024)

Pennsylvania
(3/5/2024)

Rhode Island
(1/2/2025)

South Carolina
(3/5/2024)

South Dakota
(3/5/2024)

Tennessee
(3/5/2024)

Texas
(10/3/2022)

Utah
(3/5/2024)

Vermont
(6/14/2024)

Virginia
(3/5/2024)

Washington
(3/5/2024)

West Virginia
(1/2/2025)

Wisconsin
(6/14/2024)

Wyoming
(1/2/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/2002

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: 5/15/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LODAS SECURITIES, LLC

LODAS SECURITIES, LLC | REALX SECURITIES, LLC | REALTO SECURITIES, LLC

CRD#: 313056 / SEC#: , 8-70676

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7133 W 95th St Suite 205, Overland Park, KS 66212

Mailing Address

7133 W 95th St Suite 205, Overland Park, KS 66212

Phone number

(913) 204-0053

Established

Kansas since 01/15/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LODAS MARKETS INC.	SOLE MEMBER
BRANT, DAVID ROBERT	FINOP	2718478
MCCORMACK-LANE, KEVIN	CEO	5059916
MCCORMACK-LANE, KEVIN	PRESIDENT	5059916
MCCORMACK-LANE, KEVIN	COO	5059916
O'SHAUGHNESSY, SHAWN PATRICK	VP DIRECTOR OF SALES	4526742
STEITZ, JUSTIN ROBERT	CCO	5789797

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Shawn P. O'shaughnessy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shawn Patrick O'shaughnessy's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATCAP SECURITIES, LLC

GROWTH CAPITAL SERVICES, INC.

GROWTH CAPITAL SERVICES, INC.

ARETE WEALTH ADVISORS, LLC

ARETE WEALTH MANAGEMENT, LLC

STRATCAP SECURITIES, LLC

REALTY CAPITAL SECURITIES, LLC

STRATCAP SECURITIES, LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/2018

Series 63

Date: 6/19/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2002

Series 24

Date: 5/24/2016

FINRA

Current Firm

LODAS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LODAS SECURITIES, LLC

TRUST BUT VERIFY

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