Michael W. Osgood

OSGOOD CAPITAL MANAGEMENT

SPRING, TX 77388

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CRD#: 4481251

Professional summary

Michael Wayne Osgood, CFP® is a registered financial advisor currently at OSGOOD CAPITAL MANAGEMENT, INC. located in Spring, Texas and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1.) OSGOOD CAPITAL MANAGEMENT - 7/1/2021 - 400 Randal Way, Suite 300, Spring, TX 77388 - President & CEO, Provide investment management and advisory services, Invt Rel, RA business, 30 hrs/mo; 30 hrs/mo (during trading hours). 2.) OSGOOD & ASSOCIATES, P.C. - 12/1/2001 - 400 Randal Way, Suite 300, Spring, TX 77388 - CPA & Owner, Provide tax compliance services, Not Invt Rel, Tax accounting firm, 80 hrs/mo; 80 hrs/mo (during trading hours). 3.) INDEPENDENT INSURANCE AGENT - 4/12/2002 - 1700 Gou Hole Road, Cove, TX 77523 - Owner, Sales, Not Invt Rel, Insurance business, 5 hrs/mo; 5 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wayne Osgood'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

August 3, 2021 - Present

OSGOOD CAPITAL MANAGEMENT, INC.

Office #1: 400 Randall Way Suite 300, Spring, TX 77388

RIA

CRD#: 314713

SPRING, TX

Current

April 3, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

January 1, 2005 - July 7, 2022

OSGOOD & ASSOCIATES, P.C.

RIA

CRD#: 117740

HOUSTON, TX

Past

December 8, 2004 - December 31, 2004

OSGOOD & ASSOCIATES, P.C.

RIA

CRD#: 117740

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(8/3/2021)

Texas
(4/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/12/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/7/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/4/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

OSGOOD CAPITAL MANAGEMENT, INC.

CRD#: 314713 / SEC#:

Texas

Registered Investment Advisory firm - (8/3/2021 Approved)

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Contact information

Main Address

400 Randal Way Suite 300, Spring, TX 77388

Mailing Address

Phone number

(281) 350-6700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 36,059,025

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael W. Osgood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Wayne Osgood's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSGOOD CAPITAL MANAGEMENT, INC.

THE LEADERS GROUP, INC.

OSGOOD & ASSOCIATES, P.C.

OSGOOD & ASSOCIATES, P.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2024

Series 6TO

Date: 3/7/2024

SIE

Date: 3/4/2024

FINRA

Current Firm

OSGOOD CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

OSGOOD CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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