Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Philip Osber has been in the financial services industry since 1982. Douglas is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Connecticut, Florida and Texas. Douglas is licensed to offer securities and investment advisory services. Douglas has held prior registrations with Advest, Inc., Legg Mason Wood Walker, Incorporated, Dean Witter Reynolds Inc., Moseley Securities Corporation, North American Investment Corp. and Mutual Benefit Financial Service Company. Douglas has passed the Uniform Investment Adviser Law Examination, Uniform Securities Agent State Law Examination, General Securities Sales Supervisor - Options Module Examination, General Securities Sales Supervisor - General Module Examination, General Securities Sales Supervisor Examination (Options Module & General Module), Securities Industry Essentials Examination, National Commodity Futures Examination, General Securities Representative Examination, Direct Participation Programs Representative Examination and Investment Company Products/Variable Contracts Representative Examination.
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
CT
07/18/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GLASTONBURY CT)
CT
05/11/2001 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
MD
08/25/1995 - 05/30/2001
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
12/15/1987 - 09/07/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
08/04/1986 - 01/01/1988
MOSELEY SECURITIES CORPORATION
NA
12/23/1985 - 08/05/1986
NORTH AMERICAN INVESTMENT CORP.
NA
11/15/1982 - 01/02/1986
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
IA
Issued 07/07/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/1984
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 12/02/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1988
Series 3 - National Commodity Futures Examination
BC
Issued 05/18/1985
Series 7 - General Securities Representative Examination
BC
Issued 04/18/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/12/1982
Series 6 - Investment Company Products/Variable Contracts 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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