Raymond E. 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.
Raymond Earl Osborn, CFP®, who also goes by Raymond Earl Osborn Jr, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1991. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 22, Series 53 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
November 30, 2022 - May 25, 2023
LPL FINANCIAL LLC
November 30, 2022 - May 25, 2023
LPL FINANCIAL LLC
December 2, 2013 - November 30, 2022
OSAIC INSTITUTIONS, INC.
December 2, 2013 - November 30, 2022
OSAIC INSTITUTIONS, INC.
October 11, 2007 - December 2, 2013
BANCORPSOUTH INVESTMENT SERVICES, INC.
October 9, 2007 - December 2, 2013
BANCORPSOUTH INVESTMENT SERVICES, INC.
September 18, 2006 - October 2, 2007
CAPITAL ONE INVESTMENTS, LLC
September 18, 2006 - October 2, 2007
CAPITAL ONE INVESTMENTS, LLC
September 26, 2005 - September 13, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 15, 1999 - September 13, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 29, 1992 - April 6, 1999
CREWS & ASSOCIATES, INC.
November 20, 1991 - June 4, 1992
FIRST AMERICAN SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
