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Gregory Paul Osborn

CRD# 3259921·Registered 1999 - 2013
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Paul Osborn was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1999 - 2013. Gregory had worked at 5 firms and has passed the Series 66, Series 65 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

RUBINBROWN BROKERAGE SERVICES, L.L.C.·CRD# 111904
BD
St. Louis, MO
February 28, 2011 - December 20, 2013
RUBINBROWN ADVISORS LLC·CRD# 116909
RIA
Denver, CO
September 22, 2010 - June 13, 2023
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
RIA
Denver, CO
May 7, 2003 - September 20, 2010
KESTRA INVESTMENT SERVICES, LLC·CRD# 42046
BD
Denver, CO
May 7, 2003 - September 20, 2010
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Dallas, TX
January 26, 2000 - May 22, 2003
SHNM FINANCIAL ADVISORS, LLC·CRD# 113863
RIA
Denver, CO
November 19, 1999 - October 28, 2003

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Current Firm

RB
RUBINBROWN BROKERAGE SERVICES, L.L.C.

RBG/BROKERAGE SERVICES, L.L.C. | RUBINBROWN BROKERAGE SERVICES, L.L.C.

CRD#: 111904 / SEC#: 8-53204
BD
Terminated by SEC on 04/27/2018

Contact Information

Established

Missouri since 08/09/2000

Firm Type

Limited Liability Company

Fiscal Year End

May

Documents

Direct owners and executive officers

NamePositionCRD#
RUBINBROWN LLPPARENT—
ESSTMAN, DONALD LEEMANAGING MEMBER / CCO2954191

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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) TOY WAREHOUSE LLC; 8865 WILD IRIS RUN, HIGHLANDS RANCH, CO 80126; REAL ESTATE HOLDINGS ENTITY OWNED BY HUSBAND (ME) AND MY WIFE AS 50-50 OWNERS; FORMED ON 6/20/2006; REAL ESTATE RENTAL OF COMMERCIAL WAREHOUSE SPACE; MEMBER-MANAGER; TIME SPENT ON THIS ACTIVITY IS BANKING & BILL PAY BOOKKEEPING AND OWNER DECISIONS; ONE HOUR/MONTH, ZERO HOURS DURING SECURITIES TRADING.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2000About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 1999About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Jan 2000About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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