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Robert Oshea

Cowen AND Co.

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About Robert Oshea

Robert Oshea is a registered representative with Cowen AND Co., holding a Series 7, Series 55, Series 63, Series 57TO and SIE license. Robert has been in the securities industry since August 26, 1997. Robert's prior work experience includes roles at COWEN EXECUTION SERVICES LLC, LYNCH, JONES & RYAN, INC., BEAR, STEARNS & CO. INC., INSTITUTIONAL DIRECT INC., INSTINET, LLC, INSTINET CORPORATION, and NICHOLS, SAFINA, LERNER & CO. INC. Robert is currently registered in California, Connecticut, Florida, Massachusetts, New Jersey, New York, Tennessee, and Texas.

Firm Information

Robert Oshea is currently registered with Cowen AND Co.. Cowen AND Co. is a Limited Liability Company that was formed on January 15, 2004. The firm is registered in 53 states and the SEC and offers advisory services. Cowen AND Co. has been involved in 46 regulatory events and 8 arbitration cases.

Not reported

Assets Under Management

Not reported

Total Clients

142

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Robert Oshea’s Registration & Firm History

NJ

05/31/2017 - Present

Cowen AND Co. (Red Bank NJ)

NY

07/01/2005 - 12/31/2017

COWEN EXECUTION SERVICES LLC (NY NY)

NY

03/29/2005 - 07/08/2005

LYNCH, JONES & RYAN, INC. (NEW YORK NY)

NY

09/08/2004 - 03/28/2005

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

09/08/2004 - 03/28/2005

INSTITUTIONAL DIRECT INC. (NEW YORK NY)

NY

08/01/2000 - 09/10/2004

INSTINET, LLC (NEW YORK NY)

NY

11/05/1997 - 09/10/2004

LYNCH, JONES & RYAN, INC. (NEW YORK NY)

NY

07/20/2000 - 08/01/2000

INSTINET CORPORATION (NEW YORK NY)

NY

08/17/1995 - 10/25/1995

NICHOLS, SAFINA, LERNER & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/23/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/14/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/16/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Robert Oshea.
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