Gregory J. Osborn
Professional summary
Gregory Jerome Ptasienski Osborn was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gregory is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Gregory had worked at 8 firms, which includes AXIOM CAPITAL MANAGEMENT INC., MIDDLEBURY SECURITIES LLC, MCFARLAND DEWEY SECURITIES CO. LLC, UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED, CIBC WORLD MARKETS CORP., L. F. ROTHSCHILD & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - September 11, 2013
AXIOM CAPITAL MANAGEMENT, INC.
April 22, 2009 - July 2, 2012
MIDDLEBURY SECURITIES LLC
January 7, 2009 - April 23, 2009
AXIOM CAPITAL MANAGEMENT, INC.
January 2, 2003 - January 12, 2009
MIDDLEBURY SECURITIES LLC
September 2, 1998 - July 10, 2001
MCFARLAND DEWEY SECURITIES CO., LLC
September 5, 1995 - December 23, 1996
AXIOM CAPITAL MANAGEMENT, INC.
October 26, 1992 - September 7, 1995
UBS FINANCIAL SERVICES INC.
May 23, 1989 - November 4, 1992
CITIGROUP GLOBAL MARKETS INC.
February 8, 1988 - July 26, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 29, 1988 - February 18, 1988
CIBC WORLD MARKETS CORP.
August 18, 1987 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
