Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Ernesto Osorio is a financial advisor who has been in the industry since December 1996. Mario is currently registered with Osaic Institutions, Inc. and has been with the firm since May 2022. Prior to that, Mario was registered with LPL FINANCIAL LLC, KINECTA FINANCIAL & INSURANCE SERVICES, LLC, DREYFUS BROKERAGE SERVICES, INC., J.B. OXFORD & COMPANY, AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Mario holds a Series 4, 7, 9, 10, 14, 24, 27, 52TO, 53, 63, 99TO, and SIE.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
CA
05/04/2022 - Present
Osaic Institutions, Inc. (Downey CA)
CA
07/25/2002 - 05/18/2022
LPL FINANCIAL LLC (RANCHO DOMINQUEZ CA)
CA
12/14/2005 - 11/09/2011
KINECTA FINANCIAL & INSURANCE SERVICES, LLC (MANHATTAN BEACH CA)
CA
04/06/1999 - 07/25/2002
DREYFUS BROKERAGE SERVICES, INC. (LOS ANGELES CA)
CA
01/15/1997 - 03/08/1999
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
MN
11/21/1995 - 01/18/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/21/1995 - 01/18/1996
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/18/2002
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 05/17/2001
Series 14 - Compliance Officer Examination
BC
Issued 09/01/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/11/1998
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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