James S. Osborn

PLUM STREET ADVISORS

New Orleans, LA

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CRD#: 5757661

Professional summary

James Stuart Annett Osborn, CFP®, who also goes by James L'esperance Osborn, James L. Osborn, James S. Osborn, is a registered financial advisor currently at PLUM STREET ADVISORS, LLC located in New Orleans, Louisiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James L'esperance Osborn | James L. Osborn | James S. Osborn

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) - RIA

Click below to view James Stuart Annett Osborn's CRS (Customer Relationship Summary).

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: 2011

Experience

Current

July 13, 2016 - Present

PLUM STREET ADVISORS, LLC

RIA

CRD#: 283917

New Orleans, LA

Past

August 2, 2010 - August 22, 2014

B|O|S

RIA

CRD#: 110496

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PLUM STREET ADVISORS, LLC

CRD#: 283917 / SEC#: 801-121901

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

California

Registered Investment Advisory firm - (9/8/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/9/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/9/2021 Terminated)

New York

Registered Investment Advisory firm - (8/9/2021 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(7/14/2016)

IAR

Florida
(7/19/2017)

IAR

Louisiana
(7/13/2016)

IAR

Massachusetts
(3/21/2017)

IAR

New York
(6/6/2021)

IAR

Washington
(7/11/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2010

Uniform Investment Adviser Law Examination

Current Firm

PLUM STREET ADVISORS, LLC

CRD#: 283917 / SEC#: 801-121901

RIA

Registered Investment Advisory firm - (7/29/2021 Approved)

California

Registered Investment Advisory firm - (9/8/2021 Terminated)

Florida

Registered Investment Advisory firm - (8/9/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (8/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (8/9/2021 Terminated)

New York

Registered Investment Advisory firm - (8/9/2021 Terminated)

Washington

Registered Investment Advisory firm - (9/9/2021 Terminated)

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Contact information

Main Address

New Orleans, LA

Mailing Address

Phone number

(504) 517-5107

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PLUM STREET ADVISORS BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	574
AUM (Assets Under Management)	$ 359,366,449

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.

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James S. Osborn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stuart Annett Osborn's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLUM STREET ADVISORS, LLC

B|O|S

Primary Firm SEC Registration

PLUM STREET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2010

Current Firm

PLUM STREET ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PLUM STREET ADVISORS, LLC

TRUST BUT VERIFY

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