Douglas W. Osborne
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.
Douglas Wayne Osborne SR, who also goes by Douglas Wayne Osborne, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1973. Douglas had worked at 15 firms and has passed the Series 63, Series 5, Series 1, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1988 - May 6, 1991
OSBORNE, STERN & COMPANY, INC.
February 19, 1988 - April 28, 1988
STERN FINANCIAL SECURITIES, INC.
September 21, 1987 - February 27, 1988
WESTMONT SECURITIES CORPORATION
January 24, 1986 - September 16, 1987
DICKINSON & CO.
January 24, 1985 - July 23, 1985
JESUP & LAMONT SECURITIES CO., INC.
February 24, 1983 - September 22, 1983
J.P. MORGAN SECURITIES LLC
December 2, 1982 - February 25, 1983
J. DAVID SECURITIES, INC.
January 7, 1982 - October 12, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 1981 - December 6, 1981
JEFFERIES LLC
April 3, 1981 - September 9, 1981
JEFFERIES EXECUTION SERVICES, INC.
January 31, 1980 - April 6, 1981
UBS FINANCIAL SERVICES INC.
January 4, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 24, 1978 - January 7, 1979
MORGAN STANLEY DW INC.
May 11, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
December 2, 1975 - June 20, 1976
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
March 21, 1973 - January 31, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 1
Date: 3/17/1973
Registered Representative ExaminationCurrent Firm
OSBORNE, STERN & COMPANY, INC.
CRD#: 19879 / SEC#: , 8-37744
Contact information
Documents
Red Flags
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