George A. Osborn
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.
George Arthur Osborn, who also goes by G. Arthur Osborn, George Arhthur Osborn, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1990. George had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2002 - March 21, 2017
ZIV INVESTMENT COMPANY
November 21, 1990 - January 14, 2002
MORGAN STANLEY DW 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
Current Firm
ZIV INVESTMENT COMPANY
CRD#: 4316 / SEC#: , 8-18119
Contact information
FINRA licenses (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 22,915,455 |
Disclosures
| Regulatory Event | 6 |
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.
