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James Daniel Osborne

Bason Asset Management

Lakewood, CO

CRD 4907938

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Employer firm

Bason Asset Management CRD 165450

$849M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting

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

Current Employers
Bason Asset Management

355 S. Teller St. Suite 200, Lakewood, CO 80226 • United States

Current Registrations

AuthorityCategoryStatusDate
NE RA APPROVED 2019-05-15
TX RA APPROVED_RES 2015-05-05
CO RA APPROVED 2012-11-23
  • NE RA
    APPROVED
    Since 2019-05-15
  • TX RA
    APPROVED_RES
    Since 2015-05-05
  • CO RA
    APPROVED
    Since 2012-11-23

Branch Locations

355 S. Teller St. Suite 200, Lakewood, CO 80226 • 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
Bason Asset Management, Llc Lakewood CO 09/2012 Present
  • 09/2012 → Present
    Bason Asset Management, Llc
    Lakewood, CO
Previous Registrations
  • 2011-03-03 → 2012-09-17
    M. J. Smith And Associates
    Greenwood Village, CO
  • 2007-03-13 → 2007-06-14
    Pacific West Financial Consultants Inc
    Renton, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-23
S63 Uniform Securities Agent State Law Examination 2005-03-12
  • S65 Uniform Investment Adviser Law Examination
    2007-02-23
  • S63 Uniform Securities Agent State Law Examination
    2005-03-12
Designations
  • Certified Financial Planner
Other Names
  • James D Osborne

View on SEC IAPD

Nearby Firms

FINANCIAL SECURITY MANAGEMENT, INC
EDWARD JONES
ALLSTATE FINANCIAL ADVISORS, LLC

Nearby Investors

Kemper Lee Baum
Adam Williams
DOUGLAS FRANK JOHNSON

Nearby Offices

FINANCIAL SECURITY MANAGEMENT, INC · LAKEWOOD, CO
EDWARD JONES · LAKEWOOD, CO
ALLSTATE FINANCIAL ADVISORS, LLC · Lakewood, CO

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