James G. 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.
James Geoffrey Osborne, who also goes by Jim Osborne, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 4 firms and has passed the Series 63, SIE, Series 1, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 1999 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
September 27, 1990 - October 28, 1993
NEW ENGLAND SECURITIES
March 16, 1987 - April 30, 1996
WFG SECURITIES CORPORATION
April 16, 1973 - January 1, 1992
HORNOR, TOWNSEND & KENT, 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
Series 1
Date: 4/10/1973
Registered Representative ExaminationSeries 28
Date: 6/14/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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