Daniel L. Osborn
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.
Daniel Lee Osborn was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 7 firms and has passed the Series 63, Series 5, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 1994 - November 10, 1994
MERCHANT BANKING SERVICES, INC.
October 18, 1993 - January 4, 1995
GRANITE CAPITAL MANAGEMENT CORP.
June 3, 1993 - August 9, 1993
H.J. MEYERS & CO., INC.
March 25, 1992 - March 18, 1993
GRANITE CAPITAL MANAGEMENT CORP.
December 21, 1989 - January 4, 1993
DLO SECURITIES, INC.
December 22, 1988 - July 17, 1989
LIBERTY CAPITAL MARKETS, INC.
April 10, 1986 - January 10, 1989
MCG PORTFOLIO MANAGEMENT CORP.
February 19, 1986 - March 14, 1986
FIRST AMERICA EQUITIES CORP.
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: 1/24/1989
Interest Rate Options ExaminationCurrent Firm
MERCHANT BANKING SERVICES, INC.
CRD#: 21670 / SEC#: , 8-39162
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
