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Stephen Raymond Osborn

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

Folsom, CA

CRD 4667295

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2010-11-09
CA RA APPROVED 2009-10-23
  • TX RA
    APPROVED
    Since 2010-11-09
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

555 California St, San Francisco, CA 94104 • United States

Folsom, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. San Francisco CA 02/2009 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 10/2009 Present
Previous Registrations
  • 2008-11-14 → 2009-10-23
    Banc Of America Investment Services, Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    Fremont, CA
    San Jose, CA
    San Jose, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    Menlo Park, CA
    San Diego, CA
    Yorba Linda, CA
    San Jose, CA
    Laguna Niguel, CA
    San Diego, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-13
S63 Uniform Securities Agent State Law Examination 2003-06-13
  • S65 Uniform Investment Adviser Law Examination
    2008-11-13
  • S63 Uniform Securities Agent State Law Examination
    2003-06-13

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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