JO
John W. Osborn
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
HOUSTON, TX 77042
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CRD#: 843552
JO
Professional summary
John William Osborn, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Houston, Texas and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Houston, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. John has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 15, Series 5, Series 7 and Series 24 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. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT COMPANIES. 2. ON BOARD OF DIRECTORS FOR LOCAL POA. ADMINISTRATION AND BOOKKEEPING OF QUALIFIED PLANS. 3. THE PENSION PROFESSIONALS 10375 RICHMOND AVENUE, #260 HOUSTON, TX 77742. BEGAN 08/18/1992 AS PRINCIPAL, ADMINISTRATION AND RECORDKEEPING. NOT INVESTMENT RELATED. DEVOTES10 HRS/WK. 2 HRS DURING TRADING. 4. HOUSTON CAPITAL PARTNERS. HOUSTON, TX. STARTED 09/2013 AS PRINCIPAL. EXPERT WITNESS AS A FINANCIAL EXPERT. SPENDS 5 HR/YR, 1 DURING TRADING. 5. MASTODON ADVISORY GROUP LLC, 2724 KIPLING ST #823, HOUSTON, TX, 04/2016. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-2/MO-1/TRADING. 6. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. 07/20/2011 7. RIVER OAKS NETWORKING GROUP, Houston TX 77001, 01/2017, Member, Networking, NIR, 1 HR/MO, 1 HR/MO Trading
CRS (Client Relationship Summary) - RIA
Click below to view John William Osborn'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®
Start date: 1982
Experience
Current
July 20, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 10375 Richmond Ave Ste 260, Houston, TX 77042RIA
CRD#: 134139
HOUSTON, TX
Current
July 20, 2011 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1710 State Street, Houston, TX 77007BD
CRD#: 39543
Houston, TX
Past
April 29, 2016 - April 27, 2021
MASTODON ADVISORY GROUP
RIA
CRD#: 283494
HOUSTON, TX
Past
September 15, 2015 - April 21, 2016
SHELTER WEALTH STRATEGIES, LLC
RIA
CRD#: 170655
Houston, TX
Past
December 1, 2000 - August 2, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
December 1, 2000 - August 2, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
May 3, 1999 - December 4, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 2, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 10, 1985 - February 27, 1989
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
March 23, 1983 - May 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
August 4, 1980 - April 4, 1983
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
Past
August 16, 1979 - March 15, 1980
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
September 26, 1978 - August 21, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
October 3, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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.RR
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
RR
Arkansas(12/7/2023)
RR
California(7/22/2011)
RR
Colorado(7/20/2011)
RR
Connecticut(2/18/2020)
RR
Delaware(6/9/2023)
RR
Florida(10/8/2018)
RR
Hawaii(1/6/2021)
RR
Illinois(8/30/2011)
RR
Kansas(7/19/2023)
RR
Louisiana(7/20/2011)
RR
Massachusetts(6/16/2014)
RR
Michigan(7/20/2011)
RR
Minnesota(10/29/2024)
RR
Mississippi(10/7/2022)
RR
Missouri(5/4/2022)
RR
Montana(10/20/2021)
RR
Nebraska(7/2/2025)
RR
Nevada(8/24/2021)
RR
New Jersey(8/30/2023)
RR
New Mexico(9/21/2018)
RR
North Carolina(7/19/2023)
RR
Oklahoma(7/20/2011)
RR
Pennsylvania(7/21/2011)
RR
South Dakota(1/18/2018)
RR
Tennessee(2/7/2022)
RR
Texas(7/20/2011)
IAR
Texas(7/20/2011)
RR
Utah(6/18/2021)
RR
Virginia(7/10/2019)
RR
Wisconsin(2/28/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/17/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
