Individual Firm
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DAVID MICHAEL OSBORN
DAVID M OSBORN
CRD#: 1518891
IA
B
MORGAN STANLEYCRD#: 149777 515 West Hamilton Street
Allentown, PA 18101
Allentown, PA 18101
View By:
10/22/2003
Customer Dispute
Closed-No Action
State Registrations
B
Arizona 3/26/2024
B
New York 8/20/2021
B
Colorado 3/5/2025
B
North Carolina 8/20/2021
B
Connecticut 4/20/2022
B
Ohio 1/31/2025
B
Florida 8/20/2021
B
Pennsylvania 8/20/2021
IA
Florida 2/8/2022
IA
Pennsylvania 8/20/2021
B
Maryland 8/20/2021
IA
Texas 8/20/2021
B
Michigan 8/20/2021
B
Vermont 8/20/2021
B
New Jersey 8/20/2021
B
Virginia 8/20/2021
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/20/2021
B
Registered with this firm since 8/20/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/20/2002 - 08/26/2021 | ALLENTOWN, PA | |
B | 03/20/2002 - 08/26/2021 | ALLENTOWN, PA | |
B | 11/07/2000 - 01/24/2001 | NEW YORK, NY | |
B | 04/25/1996 - 10/24/2000 | NEW YORK, NY | |
B | 03/01/1996 - 04/01/1996 | SPRINGFIELD, MA | |
B | 04/22/1994 - 03/01/1996 | ||
B | 06/08/1990 - 04/08/1994 | PHOENIXVILLE, PA | |
B | 08/08/1986 - 07/05/1990 | RADNOR, PA |
ALLENTOWN, PA
03/20/2002 - 08/26/2021
ALLENTOWN, PA
03/20/2002 - 08/26/2021
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.