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RIA / WealthAdvisorCertified Financial Planner31 years in industry

THOMAS WILLIAM O'SHAUGHNESSY

Advisor at POLARIS WEALTH MANAGEMENT, LLC

FLOSSMOOR, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: POLARIS WEALTH MANAGEMENT, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 29, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 29, 1994
First registration: Sep 19, 2012
Dual registered: no
Other names: THOMAS WILLIAM OSHAUGHNESSY|THOMAS WILLIAM OSHAUGHNESSY
IAPD individual key: 2561923

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
POLARIS WEALTH MANAGEMENT, LLC	State registered	Aug 25, 2020	n/a	yes	FLOSSMOOR, IL	Current employment
MARCUM FINANCIAL SERVICES LLC	n/a	May 9, 2018	Dec 17, 2019	no	Chicago, IL\|DEERFIELD, IL\|MELVILLE, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 21, 2017	Nov 20, 2019	no	CHICAGO, IL\|MELVILLE, NY	Previous registration
FORVIS MAZARS WEALTH ADVISORS, LLC	Independent wealth	Nov 5, 2014	Feb 26, 2016	no	OAKBROOK TERRACE, IL	Previous registration
WOLF FINANCIAL MANAGEMENT, LLC	Former SEC adviser	May 13, 2014	Dec 31, 2014	no	OAKBROOK TERRACE, IL	Previous registration
RETIREMENT ADVISORY DIRECT, LLC	n/a	Sep 19, 2012	Nov 10, 2014	no	PALATINE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MARCUM FINANCIAL SERVICES LLC	POLARIS WEALTH MANAGEMENT, LLC	Dec 17, 2019	Aug 25, 2020	252	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MARCUM FINANCIAL SERVICES LLC	Nov 20, 2019	May 9, 2018	-560	Firm change after gap	Other
FORVIS MAZARS WEALTH ADVISORS, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Feb 26, 2016	Sep 21, 2017	573	Firm change after gap	Other
WOLF FINANCIAL MANAGEMENT, LLC	FORVIS MAZARS WEALTH ADVISORS, LLC	Dec 31, 2014	Nov 5, 2014	-56	Firm change after gap	Other
RETIREMENT ADVISORY DIRECT, LLC	WOLF FINANCIAL MANAGEMENT, LLC	Nov 10, 2014	May 13, 2014	-181	Firm change after gap	Other

Relationships

Registered with (6)

→ POLARIS WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Aug 25, 2020 to presentfactForm ADV
→ MARCUM FINANCIAL SERVICES LLCRegistered adviserregistration: previous registration
May 9, 2018 to Dec 17, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 21, 2017 to Nov 20, 2019factForm ADV
→ FORVIS MAZARS WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 5, 2014 to Feb 26, 2016factForm ADV
→ WOLF FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 13, 2014 to Dec 31, 2014factForm ADV
→ RETIREMENT ADVISORY DIRECT, LLCRegistered adviserregistration: previous registration
Sep 19, 2012 to Nov 10, 2014factForm ADV

Dated events

No dated event names this entity yet.