MO
Monica A. Osborne
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CRD#: 3256608
MO
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.
Monica Alicia Osborne, who also goes by Monica A Osborne, was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 1999. Monica had worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Monica A Osborne
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) Fiduciary Appointment-Trustee~3680 Waterbrook Way~Eugene~OR~97408~7/1/2003~10hrs~0hrs~I am a Co-Trustee, along with my husband, Thomas Osborne, of our family's revocable trust. All of our assets are held in the name of the Trust. My responsibilities include keeping all bank and investment accounts reconciled, and paying bills. 2) Fiduciary Appointment-Trustee~3680 Waterbrook Way~Eugene~OR~97408~1/1/2004~1hrs~0hrs~Paying the annual premium from the trust bank acct, sending out annual Crummey notices to the beneficiaries, keeping the bank acct reconciled, and making sure annual gift tax return is filed 3) Avantax Insurance Agency LLC~1200 Executive Pkwy~Eugene~OR~97401~Equity Indexed Annuity~Equity Indexed Annuity~12/10/2012~3hrs~2hrs~Sales of EIA's 4) Osborne & Associates, LLC~1200 Executive Pkwy, Ste 310~Eugene~OR~97401~Tax Preparation/Accounting~Partner/General Partner~12/1/2009~40hrs~15hrs~Prepare tax returns, accounting services, business mgmt, consulting for clients, Estate and Income Tax Planning, Insurance and Fixed Annuity solutions, Family Wealth Counseling 5) TMO Investments LLC~3680 Waterbrook Way~Eugene~OR~97408~Real Estate/Mortgage/Title Services/Appraisal~Member of the Board of Directors~4/1/2004~4hrs~0hrs~Ownership of Rental RE: Banking Duties, Interface with Property Managers 6) Monica Osborne, CPA-PFS~1200 Executive Parkway~Eugene~OR~97401~Tax Preparation/Accounting~Owner/Sole Proprietor~7/13/1999~50hrs~25hrs~Prepare tax returns, accounting, tax & financial consulting for individuals and businesses. Provide insurance and fixed annuity solutions for clients. Estate and income tax Planning; Family Wealth Counseling 7) Edgewater at Foster Home Owners Assoc (HOA)~1415 60th Ave.~Sweet Home~OR~97386~Board Position/Officer~Other~9/1/2019~4hrs~0hrs~HOA Board Member - Treasurer The HOA uses a property manager to collect dues and pay vendors. The Treasurer maintains Accounting records and Bank Accounts. Occasionally, the Treasurer may need to write a check for larger expenditures that is above Property Manager's limit 8) NATIONAL CHRISTIAN FOUNDATION NORTHWEST; POSITION: Board of Directors NATURE: Serve on the Board of Directors for NCF NW; INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022; 1700 Seventh Ave., Suite #1820, Seattle WA 98101; The Board meet 3 times annually to oversee and assist the President of NCF NW in her duties of leading the organization. I will serve on the Compliance committee which has some financial and tax reporting assistance duties. 9) JONES & ROTH FINANCIAL ADVISORS, LLC; POSITION: Financial Advisor NATURE: Providing Financial Planning, investment management, insurance products and services, for individual, family, and business clients; INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 60 START DATE: 12/01/2022; 260 Country Club Rd., Suite 100, Eugene OR 97401; Providing financial services, advice, and planning for clients.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 25, 2007 - December 31, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Anthem, AZ
Past
September 7, 1999 - December 31, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Eugene, OR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
