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HO

Harold H. Oshima

AVENTURA SECURITIES
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 729355
HO

Professional summary

Harold Haruki Oshima is a registered financial professional currently at AVENTURA SECURITIES, LLC located in Boca Raton, Florida.

Harold is registered as a RR (Registered Representative) and started their career in finance in 1981. Harold has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 4, Series 24 and Series 26 exams.

top-8-questions

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.
21 MERCHANTS ROW RT AND SPRING HILL RT AT 21 MERCHANTS ROW, BOSTON MA AS TRUSTEE OF REAL ESTATE TRUSTS THAT OWN AND MANAGE COMMERCIAL AND RESIDENTIAL REAL ESTATE, APPROXIMATELY 2 HOURS PER MONTH. Economic Development Assistance Consortium (EDAC). Not investment related. Address: 21 Merchants Row, Boston, MA 02109. EDAC provides technical assistance to economic development organizations. Harold Oshima is a consultant to EDAC since about 2001. I have not spent any time with EDAC since about 2010. I do not receive any compensation from EDAC.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold Haruki Oshima'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

September 25, 2024 - Present

AVENTURA SECURITIES, LLC

Office #1: 5550 Glades Road Suite 535, Boca Raton, FL 33431
BD
CRD#: 142374
Boca Raton, FL
Past

December 10, 2020 - September 30, 2024

OSHIMA & ASSOCIATES

RIA
CRD#: 10370
BOSTON, MA
Past

March 2, 1982 - September 30, 2024

OSHIMA & ASSOCIATES

BD
CRD#: 10370
BOSTON, MA
Past

April 27, 1981 - August 31, 1982

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

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
California
(9/25/2024)
RR
Massachusetts
(9/25/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/5/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/11/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1984
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/17/1985
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/31/1984
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/21/1982
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AVENTURA SECURITIES, LLC
AVENTURA SECURITIES, LLC

CRD#: 142374 / SEC#: , 8-67458

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
5550 Glades Road Suite 535, Boca Raton, FL 33431
Mailing Address
5550 Glades Road Suite 535, Boca Raton, FL 33431
Phone number
(305) 466-0467
Established
Florida since 08/10/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AVENTURA HOLDINGS, LLCOWNER
CAUCEGLIA, DANIEL THOMASCEO,CCO,CIO, CFO1490736
DEVITO, ROBERT MICHAELFINOP/MUNI PRINCIPAL4313445
MOY, TIMOTHY BRIANOPTIONS PRINCIPAL5281548

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.

Company Information

AVENTURA SECURITIES, LLC

CRD#: 142374Boca Raton, FL 33431

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