Wendell T. Osborne

BA SECURITIES

W. Conshohocken, PA 19428

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CRD#: 6599544

Professional summary

Wendell Thomas Osborne, who also goes by Wendell Osborne, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

Wendell is registered as a RR (Registered Representative) and started their career in finance in 2016. Wendell has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendell Osborne

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 Wendell Thomas Osborne'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®

None

Experience

Current

September 27, 2023 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

CRD#: 153489

W. Conshohocken, PA

Past

December 15, 2022 - October 12, 2023

TANGENT CAPITAL PARTNERS, LLC

CRD#: 146999

SHORT HILLS, NJ

Past

July 13, 2017 - August 9, 2021

SERA GLOBAL SECURITIES US LLC

CRD#: 283339

NEW YORK, NY

Past

December 20, 2016 - July 13, 2017

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(10/23/2023)

Connecticut
(7/30/2024)

Florida
(1/2/2025)

Indiana
(12/3/2024)

Maryland
(4/30/2024)

New York
(9/27/2023)

Pennsylvania
(9/27/2023)

Texas
(10/23/2023)

Washington
(10/23/2023)

Wisconsin
(1/2/2025)

Exams

State Security Law Exam

Series 63

Date: 10/11/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/23/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/20/2016

Investment Banking Registered Representative Examination

SRO Registrations

FINRA

Current Firm

BA SECURITIES, LLC

BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Mailing Address

Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

Phone number

(877) 738-5841

Established

Pennsylvania since 01/25/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BA HOLDCO, LLC	OWNER
BOLDEN, MICHAEL LABRADOR	CHIEF COMPLIANCE OFFICER	6411755
CHUFF, JOHN JOSEPH	PRESIDENT	1205736
HATLING, PEDER ALAN	PRINCIPAL	5240595
JUILIANO, COLLEEN JANE	FINOP	4818898
KELLER-YOUNG, SUZANNE	OPERATIONS MANAGER	5495492
PICKENS, DANIEL NEHIL	PRINCIPAL	1042225
WENTZLER, DENNIS RAYMOND	CHIEF OPERATIONS OFFICER & AML OFFICER	4221461

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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Wendell T. Osborne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wendell Thomas Osborne's CRS (Customer Relationship Summary).

Certified licenses

Experience

BA SECURITIES, LLC

TANGENT CAPITAL PARTNERS, LLC

SERA GLOBAL SECURITIES US LLC

BROOKFIELD PRIVATE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2016

Series 7TO

Date: 2/23/2021

SIE

Date: 10/1/2018

Series 79

Date: 12/20/2016

FINRA

Current Firm

BA SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BA SECURITIES, LLC

TRUST BUT VERIFY

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