Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Anthony Osso has been active in the financial industry since 1993. Louis Osso has a wealth of experience in the financial industry and holds several licenses and certifications, including Series 7, 24, 55, 63, 66, 8, 9, 10, 14, 57TO, and SIE. Currently, Louis Osso is registered as a Registered Representative (RA) with Raymond James & Associates, Inc. and has been with them since September 2016. Previously, Louis Osso worked at DEUTSCHE BANK SECURITIES INC. from July 2011 to September 2016. Louis Osso specializes in various financial services, including Financial Planning, Pension Consulting, Educational Seminars, Selection of Other Advisers, Portfolio Management for Businesses, and Portfolio Management for Individuals. Louis Osso is registered in various states and is dedicated to providing comprehensive financial solutions to 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
NY
06/14/2021 - Present
Raymond James & Associates, Inc. (New York NY)
NY
07/19/2011 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
07/07/2011 - 12/08/2011
MPS FIXED INCOME LLC (NEW YORK NY)
NY
01/19/2011 - 09/14/2011
MPS GLOBAL SECURITIES, LLC (NEW YORK NY)
NY
01/19/2011 - 08/11/2011
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NY
04/17/2009 - 12/31/2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC (NEW YORK NY)
NY
08/19/2008 - 02/05/2009
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
05/05/2005 - 10/01/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/04/2001 - 04/21/2005
UBS INTERNATIONAL INC. (NEW YORK NY)
NY
06/14/1999 - 05/09/2001
UBS WARBURG LLC (NEW YORK NY)
NE
05/11/1993 - 06/11/1999
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
01/04/1993 - 03/23/1993
HIBBARD BROWN & CO., INC. (NEW YORK NY)
BOTH
Issued 02/29/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/1993
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 08/14/2009
Series 14 - Compliance Officer Examination
BC
Issued 09/17/1999
Series 4 - Registered Options Principal Examination
BC
Issued 10/08/1998
Series 24 - General Securities Principal Examination
BC
Issued 02/27/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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