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David Prescott Osterbrock
Prescott Osterbrock
CRD#: 4923278
IA
B
LPL FINANCIAL LLCCRD#: 6413 1717 DIXIE HWY; STE 416
FT WRIGHT, KY 41011-2766
FT WRIGHT, KY 41011-2766
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Disclosures
19
Years of Experience
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State Registrations
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Florida 7/21/2021
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Kentucky 7/21/2021
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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
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Registered with this firm since 7/21/2021
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Registered with this firm since 7/21/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/21/2017 - 07/21/2021 | FT WRIGHT, KY | |
B | 04/21/2017 - 07/21/2021 | FT WRIGHT, KY | |
IA | 05/16/2006 - 04/27/2017 | COVINGTON, KY | |
B | 05/02/2006 - 04/27/2017 | COVINGTON, KY | |
B | 05/03/2005 - 04/12/2006 | CINCINNATI, OH |
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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.
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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.