DO
Daniel P. O'shea
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Alexandria, VA
Some features on this profile are disabled
CRD#: 5365597
DO
Professional summary
Daniel Patrick O'shea, who also goes by Daniel Patrick Oshea, is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Alexandria, Virginia and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Patrick 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) - RIA
Click below to view Daniel Patrick 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
May 29, 2015 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
Alexandria, VA
Current
May 28, 2015 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress Street, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
April 16, 2013 - May 29, 2015
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
FOXBORO, MA
Past
March 28, 2012 - May 28, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FOXBORO, MA
Past
June 1, 2009 - March 21, 2012
MORGAN STANLEY
BD
CRD#: 149777
DANVERS, MA
Past
May 15, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DANVERS, MA
Past
April 18, 2008 - June 4, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ANDOVER, MA
Past
September 19, 2007 - January 15, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NORWELL, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
Registered Investment Advisory firm - (12/20/1985 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/19/2020)
RR
Alaska(11/19/2020)
RR
Arizona(11/19/2020)
RR
Arkansas(11/19/2020)
RR
California(11/19/2020)
RR
Colorado(11/19/2020)
RR
Connecticut(11/19/2020)
IAR
Connecticut(4/27/2022)
RR
Delaware(5/28/2015)
IAR
Delaware(6/12/2015)
RR
District of Columbia(5/28/2015)
IAR
District of Columbia(6/3/2015)
RR
Florida(11/19/2020)
RR
Georgia(11/19/2020)
RR
Hawaii(11/19/2020)
RR
Idaho(11/19/2020)
RR
Illinois(11/19/2020)
RR
Indiana(11/19/2020)
RR
Iowa(11/19/2020)
RR
Kansas(11/19/2020)
RR
Kentucky(10/30/2018)
IAR
Kentucky(11/5/2018)
RR
Louisiana(11/19/2020)
RR
Maine(11/19/2020)
IAR
Maine(4/28/2022)
RR
Maryland(5/28/2015)
IAR
Maryland(6/2/2015)
RR
Massachusetts(11/19/2020)
IAR
Massachusetts(5/4/2022)
RR
Michigan(11/19/2020)
RR
Minnesota(11/19/2020)
RR
Mississippi(11/19/2020)
RR
Missouri(11/19/2020)
RR
Montana(11/19/2020)
RR
Nebraska(11/19/2020)
RR
Nevada(11/19/2020)
RR
New Hampshire(11/19/2020)
IAR
New Hampshire(4/29/2022)
RR
New Jersey(5/28/2015)
IAR
New Jersey(6/3/2015)
RR
New Mexico(11/19/2020)
RR
New York(11/19/2020)
IAR
New York(4/7/2021)
RR
North Carolina(11/19/2020)
RR
North Dakota(11/19/2020)
RR
Ohio(10/5/2018)
IAR
Ohio(10/5/2018)
RR
Oklahoma(11/19/2020)
RR
Oregon(11/19/2020)
RR
Pennsylvania(5/28/2015)
IAR
Pennsylvania(5/29/2015)
RR
Puerto Rico(11/19/2020)
RR
Rhode Island(11/19/2020)
IAR
Rhode Island(4/28/2022)
RR
South Carolina(11/19/2020)
RR
South Dakota(11/19/2020)
RR
Tennessee(11/19/2020)
RR
Texas(11/19/2020)
RR
Utah(11/19/2020)
RR
Vermont(11/19/2020)
IAR
Vermont(4/27/2022)
RR
Virgin Islands(11/19/2020)
RR
Virginia(11/7/2016)
IAR
Virginia(11/8/2016)
RR
Washington(11/19/2020)
RR
West Virginia(2/8/2017)
IAR
West Virginia(2/9/2017)
RR
Wisconsin(11/19/2020)
RR
Wyoming(11/19/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
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Contact information
Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
Phone number
(800) 225-2365
Established
Firm type
Fiscal year end
# of Employees
910
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,061 |
| AUM (Assets Under Management) | $ 457,482,709,435 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2025 |
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.
