Neil A. Osowsky
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.
Neil Alan Osowsky was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1989. Neil had worked at 16 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
June 7, 2019 - October 14, 2020
FROST BROKERAGE SERVICES, INC.
May 15, 2015 - August 10, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2011 - May 4, 2015
TD AMERITRADE, INC.
October 4, 2010 - January 31, 2011
CHARLES SCHWAB & CO., INC.
February 19, 2008 - August 17, 2009
WELLS FARGO INVESTMENTS, LLC
October 10, 2003 - December 5, 2007
INVESTMENTS FOR YOU, INC.
August 1, 2002 - December 20, 2002
CETERA INVESTMENT SERVICES LLC
October 30, 1996 - August 8, 2000
WELLS FARGO SECURITIES INC.
June 5, 1996 - October 4, 1996
SENTRA SECURITIES CORPORATION
January 1, 1996 - May 13, 1996
FIRST UNION BROKERAGE SERVICES, INC.
July 18, 1995 - January 1, 1996
MARKETING ONE SECURITIES, INC.
March 7, 1994 - July 25, 1995
WELLS FARGO SECURITIES INC.
July 16, 1992 - February 15, 1994
BA INVESTMENT SERVICES, INC.
November 25, 1991 - June 12, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
August 14, 1991 - November 13, 1991
MARKETING ONE SECURITIES, INC.
August 14, 1990 - August 1, 1991
CAPITAL BROKERAGE CORPORATION
May 18, 1990 - August 23, 1990
OSAIC WEALTH, INC.
July 5, 1989 - December 31, 1989
FFP SECURITIES, INC.
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 7TO
Date: 3/15/2022
General Securities Representative ExaminationCurrent Firm
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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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