David A. Osgood
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.
David Allen Osgood, who also goes by David A Osgood, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55, Series 6, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2020 - July 2, 2025
FISHER INVESTMENTS
October 19, 2017 - May 19, 2020
CHARLES SCHWAB & CO., INC.
October 23, 1986 - October 22, 2002
JEFFERIES LLC
September 24, 1986 - October 16, 1986
JEFFERIES LLC
October 28, 1985 - October 8, 1986
JEFFERIES EXECUTION SERVICES, INC.
August 23, 1984 - July 9, 1985
IFMG SECURITIES, INC.
September 23, 1983 - July 6, 1984
FIDELITY BROKERAGE SERVICES LLC
March 4, 1983 - July 10, 1984
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 55
Date: 12/17/1998
Limited Representative-Equity Trader ExamCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
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