David L. Osgood
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.
David Lewis Osgood, who also goes by David L Osgood, David Lewis Osgood, David Osgood, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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
December 6, 2019 - March 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2019 - March 4, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2013 - May 15, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 2013 - May 15, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 5, 2012 - March 28, 2013
J.P. MORGAN SECURITIES LLC
December 14, 2010 - March 28, 2013
J.P. MORGAN SECURITIES LLC
November 3, 2009 - December 8, 2010
BNY MELLON SECURITIES CORPORATION
March 7, 2006 - October 3, 2008
FNB BROKERAGE SERVICES, INC.
January 1, 2004 - October 1, 2004
TRUIST INVESTMENT SERVICES, INC.
March 6, 2002 - July 10, 2002
ASSETMARK CAPITAL CORPORATION
March 15, 2000 - September 13, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 13, 1997 - March 13, 2000
ASSETMARK CAPITAL CORPORATION
September 10, 1993 - May 28, 1997
FIRST UNION BROKERAGE SERVICES, INC.
March 27, 1991 - September 10, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 26, 1990 - November 6, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1989 - March 27, 1990
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
