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Detailed Report
David Prescott Osterbrock
Prescott Osterbrock
CRD#: 4923278
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 1717 DIXIE HWY; STE 416
FT WRIGHT, KY 41011-2766
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2017 (10 years)2 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - Present (3 years)BEDWARD JONES (CRD# 250)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Florida 7/21/2021
IA
Kentucky 7/21/2021
B
Georgia 7/21/2021
B
Michigan 7/21/2021
B
Indiana 7/21/2021
B
Ohio 7/21/2021
B
Kentucky 7/21/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
1717 DIXIE HWY; STE 416, FT WRIGHT, KY 41011-2766
Registered with this firm since 7/21/2021
B
LPL FINANCIAL LLC (CRD#:6413)
1717 DIXIE HWY; STE 416, FT WRIGHT, KY 41011-2766
Registered with this firm since 7/21/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/21/2017 - 07/21/2021 WADDELL & REED (CRD#:866) FT WRIGHT, KY
B
 04/21/2017 - 07/21/2021 WADDELL & REED (CRD#:866) FT WRIGHT, KY
IA
 05/16/2006 - 04/27/2017 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) COVINGTON, KY
B
 05/02/2006 - 04/27/2017 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) COVINGTON, KY
B
 05/03/2005 - 04/12/2006 EDWARD JONES (CRD#:250) CINCINNATI, OH
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.