Michael W. O'shea

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CRD#: 5431018

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.

Michael William O'shea, who also goes by Michael William Oshea, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael William 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.

I am a partner in a golf simulator franchise. The business is in the process of being opened. The name of the franchise group is X-Golf and this is a non-investment related business. There is no address yet for the business but it will be located in the western suburbs of Chicago. The start date of this relationship was June of 2020 and I devote approximately 20-40 hours per month to this business, and I will devote 0 hours during securities trading hours. This business will be run by a general manager, and so my duties will be limited to overseeing the operations.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 24, 2022 - November 14, 2023

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA

CRD#: 159296

NEW YORK, NY

Past

September 1, 2020 - November 14, 2023

CANTOR FITZGERALD & CO.

CRD#: 134

CHICAGO, IL

Past

January 8, 2019 - June 9, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

February 16, 2017 - October 24, 2017

THIRD SEVEN CAPITAL LLC

CRD#: 160209

Lake Como, NJ

Past

November 2, 2007 - November 7, 2016

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

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".

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/24/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2007

General Securities Representative Examination

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA

Registered Investment Advisory firm - (11/15/2011 Approved)

Delaware

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

110 East 59th Street 7th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 915-1722

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	1,286
AUM (Assets Under Management)	$ 2,384,816,869

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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Firm Stability Insights

Michael W. O'shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CANTOR FITZGERALD & CO.

FORESIDE FUND SERVICES, LLC

THIRD SEVEN CAPITAL LLC

INLAND SECURITIES CORPORATION

Primary Firm SEC Registration

CANTOR FITZGERALD INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/26/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/24/2017

Series 7

Date: 11/1/2007

Current Firm

CANTOR FITZGERALD INVESTMENT ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANTOR FITZGERALD INVESTMENT ADVISORS

TRUST BUT VERIFY

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