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Richard S. Ose

INVESCO DISTRIBUTORS
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 4150606
RO

Professional summary

Richard Sean Ose is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Downers Grove, Illinois.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 5 firms and has passed the Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Sean Ose's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 9, 2011 - Present

INVESCO DISTRIBUTORS, INC.

Office #1: 3500 Lacey Road Suite 700, Downers Grove, IL 60515
BD
CRD#: 7369
Downers Grove, IL
Past

April 30, 2007 - July 11, 2011

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

September 6, 2006 - April 27, 2007

LASALLE CAPITAL, L.L.C.

BD
CRD#: 133526
CHICAGO, IL
Past

December 5, 2003 - September 19, 2006

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL
Past

August 3, 2001 - December 3, 2003

MELVIN SPECIALISTS, L.L.C.

BD
CRD#: 34945
CHICAGO, IL
Past

April 11, 2000 - June 19, 2000

MELVIN SECURITIES, L.L.C.

BD
CRD#: 29767
CHICAGO, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/11/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/9/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/10/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.DIRECT OWNER
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARRIS, JERRY CLINTON IIDIRECTOR3275064
KRAMER, BRIAN KEITHDIRECTOR4132102
MCDONOUGH, JOHN CARLINPRESIDENT/CEO/DIRECTOR2363299
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event3

Red Flags

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.

Company Information

INVESCO DISTRIBUTORS, INC.

CRD#: 7369Downers Grove, IL 60515

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