Mark W. Osmond
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.
Mark William Osmond was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 2 firms and has passed the Series 63, SIE, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2009 - February 17, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
October 19, 1983 - October 9, 2006
CREDIT SUISSE SECURITIES (USA) LLC
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 5
Date: 5/22/1984
Interest Rate Options ExaminationSeries 8
Date: 3/17/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PORTFOLIO BROKERAGE SERVICES, INC.
CRD#: 18554 / SEC#: , 8-36915
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PMC INTERNATIONAL, INC. | PARENT COMPANY | |
| LUGOWSKI, MICHAEL GIORDANO | CHIEF COMPLIANCE OFFICER | 5132003 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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