Thomas F. Oshaughnessy
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.
Thomas Francis Oshaughnessy, who also goes by Tommy Oshaughnessy, Tommyo Oshaughnessy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2004 - December 12, 2012
INSIGHT SECURITIES, INC.
September 24, 1996 - September 11, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 29, 1995 - November 27, 1995
FINANCIAL ASSET MANAGEMENT, INC.
November 3, 1992 - September 23, 1993
FINANCIAL ASSET MANAGEMENT, INC.
March 13, 1989 - March 18, 1991
FINANCIAL ASSET MANAGEMENT, INC.
November 10, 1987 - December 7, 1987
PRESCOTT, BALL & TURBEN, INC.
February 6, 1987 - November 10, 1987
CRANSTON SECURITIES COMPANY
February 7, 1986 - February 4, 1987
E. F. HUTTON & COMPANY INC
January 19, 1981 - February 26, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
Contact information
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
