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Michael Robert Osgood

LPl Financial LLC

Dubuque, IA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-04-26
  • IA RA
    APPROVED
    Since 2022-04-26

Branch Locations

3255 Foothill Ct, Dubuque, IA 52001-0840 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc East Dubuque IL 11/2015 Present
Visionpoint Advisory Group, Llc Dubuque IL 11/2015 04/2022
  • 11/2015 → Present
    East Dubuque, IL
  • 11/2015 → 04/2022
    Visionpoint Advisory Group, Llc
    Dubuque, IL
Previous Registrations
  • 2018-07-31 → 2022-04-28
    Dubuque, IA
    Dallas, TX
  • 2015-12-03 → 2017-12-31
    East Dubuque, IL
  • 2013-02-26 → 2015-12-02
    Cuna Brokerage Services, Inc.
    West Des Moines, IA
    Waverly, IA
  • 2011-09-09 → 2012-04-25
    Cetera Investment Services Llc
    Clive, IA
  • 2010-06-07 → 2011-09-09
    West Des Moines, IA
  • 2008-02-08 → 2010-03-15
    Iowa Falls, IA
    St Louis, MO
Other Businesses

1. 12/18/2015 - United Wealth Management - DBA for LPL Business (entity for LPL business) - INV REL - 475 Cedar Cross Road, Dubuque, IA 52003 - START 12/4/2015 - 160 Hr/Mo; 40 Hours During Securities Trading; 100% TIME SPENT 2. 07/18/2016 - Integrity Life - Non-Variable Insurance - INV REL - 3255 Foothill Ct, Dubuque, IA 52001 - Start 06/14/2016 - 10 Hr/Mo; 10 Hours During Securities Trading 3. 8/8/2018 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:07/17/2018 - 10 Hours Per Month/10 Hours During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-07
  • S66 Uniform Combined State Law Examination
    2008-02-07
Other Names
  • Michael R Osgood

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