DO
David W. Osborne
SUNBELT SECURITIES
Austin, TX
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CRD#: 3022156
DO
Professional summary
David Walter Osborne is a registered financial advisor currently at SUNBELT SECURITIES, INC. located in Austin, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 4 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 31, Series 7 and Series 24 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.
1) OA Capital (DBA): Investment related. 7905 Brightman Ln, Austin, TX 78733. DBA under Sunbelt Securities, Inc. Registered Representative. Start: 07/2021. 40 hours a month, during trading hours. 2) DKO Investment Company LLC (OBA): 7905 Brightman Ln, Austin, TX 78733. Investment holding company. Buy / hold investments. Owner. Start date 05/2014. Zero hours, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Walter Osborne's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Walter Osborne's 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®
NoneExperience
Current
October 5, 2021 - Present
SUNBELT SECURITIES, INC.
RIA
BD
CRD#: 42180
Austin, TX
Current
July 16, 2021 - Present
SUNBELT SECURITIES, INC.
Office #1: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056Office #2: 2700 Post Oak Blvd Ste 1700, Houston, TX 77056RIA
BD
CRD#: 42180
Houston, TX
Past
June 28, 2019 - July 1, 2019
SUNBELT SECURITIES, INC.
RIA
CRD#: 42180
AUSTIN, TX
Past
June 28, 2019 - July 23, 2019
SUNBELT SECURITIES, INC.
BD
CRD#: 42180
AUSTIN, TX
Past
July 15, 2004 - October 3, 2006
OSBORNE ADVISORS, INC.
RIA
CRD#: 130359
DALLAS, TX
Past
March 30, 1999 - June 28, 2019
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
DALLAS, TX
Past
March 27, 1999 - June 28, 2019
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
March 10, 1998 - January 27, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/9/2024)
RR
Arizona(8/5/2024)
RR
Georgia(4/7/2022)
RR
Mississippi(2/2/2023)
RR
New Jersey(4/7/2022)
RR
North Carolina(7/1/2024)
RR
Pennsylvania(4/11/2022)
RR
South Carolina(4/27/2023)
IAR
Texas(10/5/2021)
RR
Texas(4/6/2022)
RR
Virginia(4/7/2022)
RR
Washington(4/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/8/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SUNBELT SECURITIES, INC.
SUNBELT ADVISORY SERVICES, INC. | SUNBELT SECURITIES, INC. | SUNBELT SECURITIES
CRD#: 42180 / SEC#: 801-71479, 8-49748
RIA
Registered Investment Advisory firm - SEC (6/24/2010 Approved)Kentucky
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (7/16/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd Ste 1700, Houston, TX 77056
Phone number
(713) 965-9510
Established
Texas since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (39 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUCKLEY, THOMAS FRANCIS | FINANCIAL OPERATIONS PRINCIPAL | 1563361 |
| MILLER, RAYMOND JOSEPH | OFFICE MANAGER/COMPLIANCE | 856248 |
| SMETEK, DAVID ANTHONY | PRESIDENT / SECRETARY | 1246996 |
| SMETEK, PATRICK JOSEPH | REGISTERED OPTIONS PRINICPAL | 1052695 |
| SMETEK, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 1052695 |
| YOUNG, DAGNY WRIGHT | MUNICIPAL SECURITIES PRINCIPAL | 2050615 |
Regulatory assets under management
| Total Number of Accounts | 5,355 |
| AUM (Assets Under Management) | $ 2,024,286,577 |
Disclosures
| Regulatory Event | 2 |
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.
