Edward J. Osborne
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.
Edward Joseph Osborne was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1988. Edward had worked at 13 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2018 - July 24, 2019
SUPREME ALLIANCE LLC
December 15, 2015 - February 7, 2018
BROOKSTONE ASSET MANAGEMENT, LLC
April 28, 2014 - February 7, 2018
BROOKSTONE WEALTH ADVISORS, LLC
May 11, 2009 - April 10, 2014
CETERA WEALTH SERVICES, LLC
March 13, 2009 - April 10, 2014
CETERA WEALTH SERVICES, LLC
January 17, 2008 - March 16, 2009
MSI FINANCIAL SERVICES, INC.
January 9, 2008 - March 16, 2009
MSI FINANCIAL SERVICES, INC.
March 1, 2005 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2005 - January 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2001 - February 23, 2005
MORGAN STANLEY DW INC.
January 5, 2001 - February 23, 2005
MORGAN STANLEY DW INC.
January 1, 1998 - January 25, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
April 19, 1993 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 24, 1992 - April 23, 1993
IDS LIFE INSURANCE COMPANY
June 24, 1992 - April 23, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 1991 - December 31, 1991
USLIFE EQUITY SALES CORP.
October 31, 1988 - March 22, 1991
PFS INVESTMENTS INC.
Primary Firm SEC Registration
SUPREME ALLIANCE LLC
CRD#: 45348 / SEC#: 801-108980, 8-51046
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
SUPREME ALLIANCE LLC
CRD#: 45348 / SEC#: 801-108980, 8-51046
Contact information
SEC notice filing (37 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSURANCE DISTRIBUTION CONSULTING LLC | OWNER | |
| HUSBANDS, ROGER BRENT | COMPLIANCE PRINCIPAL | 845110 |
| JONES, MICHAEL WASHINGTON | FINOP / CEO / CCO |
Regulatory assets under management
| Total Number of Accounts | 77 |
| AUM (Assets Under Management) | $ 18,279,631 |
Disclosures
| Regulatory Event | 5 |
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.
