Basil O. Osbourne
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Basil Oneal Osbourne, who also goes by Basil Oneal Osbourne Sr, was a registered financial professional .
Basil is a previously registered financial professional and started their career in finance in 1979. Basil had worked at 7 firms and has passed the Series 63, Series 15, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 12, 2005 - September 27, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 6, 2002 - May 14, 2003
IDS LIFE INSURANCE COMPANY
June 6, 2002 - May 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 1997 - April 13, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 25, 1996 - March 17, 1997
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1996 - March 17, 1997
MSI FINANCIAL SERVICES, INC.
April 25, 1994 - August 16, 1995
PFS INVESTMENTS INC.
May 10, 1990 - April 25, 1992
PFS INVESTMENTS INC.
May 24, 1979 - May 20, 1988
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/6/1982
Foreign Currency Options ExaminationSeries 5
Date: 4/12/1982
Interest Rate Options ExaminationCurrent Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
