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OA

Osman Arain

EVANSBROOK CAPITAL MANAGEMENT
Bolingbrook, IL
Some features on this profile are disabled
CRD#: 2629717
OA

Professional summary

Osman Arain is a registered financial advisor currently at EVANSBROOK CAPITAL MANAGEMENT located in Bolingbrook, Illinois.

Osman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Osman has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Osman Arain's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 2, 2023 - Present

EVANSBROOK CAPITAL MANAGEMENT

RIA
CRD#: 327916
Bolingbrook, IL
Past

July 28, 2017 - October 3, 2023

ROMANO BROTHERS AND COMPANY

RIA
CRD#: 3215
EVANSTON, IL
Past

July 27, 2017 - October 3, 2023

ROMANO BROTHERS AND COMPANY

BD
CRD#: 3215
EVANSTON, IL
Past

June 15, 2011 - February 15, 2012

BEACON GLOBAL ASSET MANAGEMENT

RIA
CRD#: 106862
MORRISTOWN, NJ
Past

August 19, 2005 - November 1, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EC
EVANSBROOK CAPITAL MANAGEMENT
EVANSBROOK CAPITAL MANAGEMENT | EVANSBROOK LLC

CRD#: 327916 / SEC#: 801-128734

RIA
Registered Investment Advisory firm - (9/19/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(10/2/2023)
IAR
Colorado
(3/6/2025)
IAR
Illinois
(10/2/2023)
IAR
Minnesota
(10/2/2023)
IAR
New Hampshire
(10/2/2023)
IAR
Texas
(10/2/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/8/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2017
General Securities Representative Examination

Current Firm

EC
EVANSBROOK CAPITAL MANAGEMENT
EVANSBROOK CAPITAL MANAGEMENT | EVANSBROOK LLC

CRD#: 327916 / SEC#: 801-128734

RIA
Registered Investment Advisory firm - (9/19/2023 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Bolingbrook, IL
Mailing Address
Phone number
(917) 406-9128
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EVANSBROOK ADV 2A & 2B (3/6/2025)

Regulatory assets under management

Total Number of Accounts146
AUM (Assets Under Management)$ 184,586,179

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.

Company Information

EVANSBROOK CAPITAL MANAGEMENT

CRD#: 327916Bolingbrook, IL

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