Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maxwell? Claim Your ProfileMaxwell Joseph Osborne is a financial professional with over 17 years of experience in the financial services industry. Maxwell has been registered with Nuveen Securities, LLC since February 2020. Prior to joining Nuveen Securities, LLC, Maxwell was employed by ENTRUSTPERMAL SECURITIES LLC, LEGG MASON INVESTOR SERVICES, LLC, HASTINGS CAPITAL GROUP, LLC, and CITIGROUP GLOBAL MARKETS INC. Maxwell holds FINRA Series 7, 24, 63, and 66 securities licenses and the SIE exam. Maxwell is also registered with the state of New York.
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.
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.
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2
NY
02/14/2020 - Present
Nuveen Securities, LLC (New York NY)
NY
05/04/2016 - 02/11/2019
ENTRUSTPERMAL SECURITIES LLC (NEW YORK NY)
NY
04/24/2012 - 05/06/2016
LEGG MASON INVESTOR SERVICES, LLC (NEW YORK NY)
NY
07/01/2010 - 01/25/2012
HASTINGS CAPITAL GROUP, LLC (NEW YORK NY)
NY
05/20/2009 - 06/11/2010
LEGG MASON INVESTOR SERVICES, LLC (NEW YORK NY)
CT
12/01/2005 - 02/13/2007
LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)
NY
05/12/2005 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/10/2005 - 05/05/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
12/18/2003 - 01/27/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MN
07/18/2001 - 08/25/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/18/2001 - 08/25/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 09/16/2009
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 09/24/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/20/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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