Frederick C. 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.
Frederick Charles Osmond was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1987. Frederick had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2018 - March 27, 2026
VERITY ASSET MANAGEMENT
September 18, 2017 - November 16, 2017
ENCOMPASS MORE LLC
January 14, 2010 - September 30, 2011
LIGHTHOUSE CAPITAL CORPORATION
April 22, 2002 - January 7, 2010
VERITRUST FINANCIAL, LLC
September 13, 1989 - April 22, 2002
ARAGON FINANCIAL SERVICES, INC.
November 5, 1987 - October 12, 1989
MONARCH SECURITIES, INC.
April 29, 1987 - October 21, 1987
WADDELL & REED
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
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
Current Firm
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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