TO
Thomas J. O'shea
UBS FUND SERVICES (USA) LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4803329
TO
Professional summary
Thomas James O'shea is a registered financial professional currently at UBS FUND SERVICES (USA) LLC located in Hartford, Connecticut.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 1 firm and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Thomas James 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
June 20, 2014 - Present
UBS FUND SERVICES (USA) LLC
Office #1: 10 State House Square 12th Floor, Hartford, CT 06103BD
CRD#: 41848
Hartford, CT
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(7/16/2014)
RR
Alaska(7/16/2014)
RR
Arizona(7/16/2014)
RR
Arkansas(7/16/2014)
RR
California(7/16/2014)
RR
Colorado(7/16/2014)
RR
Connecticut(7/16/2014)
RR
Delaware(7/16/2014)
RR
District of Columbia(7/16/2014)
RR
Florida(7/16/2014)
RR
Georgia(7/16/2014)
RR
Hawaii(7/16/2014)
RR
Idaho(7/16/2014)
RR
Illinois(7/16/2014)
RR
Indiana(7/16/2014)
RR
Iowa(7/16/2014)
RR
Kansas(7/16/2014)
RR
Kentucky(7/16/2014)
RR
Louisiana(7/16/2014)
RR
Maine(7/16/2014)
RR
Maryland(7/16/2014)
RR
Massachusetts(7/16/2014)
RR
Michigan(7/16/2014)
RR
Minnesota(7/16/2014)
RR
Mississippi(7/16/2014)
RR
Missouri(7/16/2014)
RR
Montana(7/16/2014)
RR
Nebraska(7/16/2014)
RR
Nevada(7/16/2014)
RR
New Hampshire(7/16/2014)
RR
New Jersey(7/16/2014)
RR
New Mexico(7/16/2014)
RR
New York(7/16/2014)
RR
North Carolina(7/16/2014)
RR
North Dakota(7/16/2014)
RR
Ohio(7/17/2014)
RR
Oklahoma(7/16/2014)
RR
Oregon(7/16/2014)
RR
Pennsylvania(7/16/2014)
RR
Rhode Island(7/16/2014)
RR
South Carolina(7/16/2014)
RR
South Dakota(7/16/2014)
RR
Tennessee(7/16/2014)
RR
Texas(7/16/2014)
RR
Utah(7/16/2014)
RR
Vermont(7/16/2014)
RR
Virginia(7/16/2014)
RR
Washington(7/16/2014)
RR
West Virginia(7/16/2014)
RR
Wisconsin(7/16/2014)
RR
Wyoming(7/16/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UF
UBS FUND SERVICES (USA) LLC
ALLEGIS CAPITAL LLC | UBS FUND SERVICES (USA) LLC | UBS ASSET MANAGEMENT, REAL ESTATE - US
CRD#: 41848 / SEC#: , 8-49596
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Mailing Address
10 State House Square 12th Floor, Hartford, CT, 06103-3604
Phone number
(860) 616-9000
Established
Delaware since 06/30/1996
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.
