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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dan? Claim Your ProfileDan Osborne is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Dan has been in the industry for over 30 years and holds a variety of licenses and certifications, including Series 7, Series 10, Series 9, Series 4, Series 24, Series 52, Series 53, Series 63, Series 66 and the SIE exam. Dan's prior experience includes working at BANC OF AMERICA INVESTMENT SERVICES, INC., NATIONSBANC MONTGOMERY SECURITIES LLC, BANCAMERICA SECURITIES, INC., BA INVESTMENT SERVICES, INC., and GNA SECURITIES, INC. Dan is registered to provide investment advice in 34 states and has extensive experience in portfolio management for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
11/02/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HENDERSON NV)
CA
04/12/1999 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
NY
10/01/1998 - 04/12/1999
NATIONSBANC MONTGOMERY SECURITIES LLC (NEW YORK NY)
CA
03/11/1996 - 10/01/1998
BANCAMERICA SECURITIES, INC. (SAN FRANCISCO CA)
CA
05/30/1992 - 03/11/1996
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
VA
11/18/1991 - 06/30/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
BOTH
Issued 04/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/17/1995
Series 4 - Registered Options Principal Examination
BC
Issued 08/22/1994
Series 12 - NYSE Branch Manager Examination
BC
Issued 09/09/1992
Series 24 - General Securities Principal Examination
BC
Issued 04/22/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1991
Series 7 - General Securities Representative Examination
BC
Issued 09/11/1987
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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