Gregory P. 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.
Gregory Paul Osborn was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1999. Gregory had worked at 5 firms and has passed the Series 66, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2011 - December 20, 2013
RUBINBROWN BROKERAGE SERVICES, L.L.C.
September 22, 2010 - June 13, 2023
RUBINBROWN ADVISORS LLC
May 7, 2003 - September 20, 2010
KESTRA INVESTMENT SERVICES, LLC
May 7, 2003 - September 20, 2010
KESTRA INVESTMENT SERVICES, LLC
January 26, 2000 - May 22, 2003
1ST GLOBAL CAPITAL CORP.
November 19, 1999 - October 28, 2003
SHNM FINANCIAL ADVISORS, LLC
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
RUBINBROWN BROKERAGE SERVICES, L.L.C.
CRD#: 111904 / SEC#: , 8-53204
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUBINBROWN LLP | PARENT | |
| ESSTMAN, DONALD LEE | MANAGING MEMBER / CCO | 2954191 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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