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David Prescott Osterbrock

LPl Financial LLC

Ft Wright, KY

CRD 4923278

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2021-07-21
  • KY RA
    APPROVED
    Since 2021-07-21

Branch Locations

1717 Dixie Hwy; Ste 416, Ft Wright, KY 41011-2766 • 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
Us Bancorp Investments, Inc Saint Paul MN 04/2006 04/2017
Behringer Crawford Museum Covington KY 11/2016 04/2017
Waddell & Reed, Inc Cincinnati OH 04/2017 07/2021
Various Insurance Carriers For W&R Insurance Agencies Newport KY 04/2017 07/2021
Riverfront East Condo Owners Association Cincinnati OH 05/2018 11/2020
Lpl Financial Llc Ft Wright KY 07/2021 Present
  • 04/2006 → 04/2017
    Us Bancorp Investments, Inc
    Saint Paul, MN
  • 11/2016 → 04/2017
    Behringer Crawford Museum
    Covington, KY
  • 04/2017 → 07/2021
    Waddell & Reed, Inc
    Cincinnati, OH
  • 04/2017 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Newport, KY
  • 05/2018 → 11/2020
    Riverfront East Condo Owners Association
    Cincinnati, OH
  • 07/2021 → Present
    Lpl Financial Llc
    Ft Wright, KY
Previous Registrations
  • 2017-04-21 → 2021-07-21
    Waddell & Reed
    West Chester, OH
    Erlanger, KY
    Ft Wright, KY
    Charleroi, PA
  • 2006-05-16 → 2017-04-27
    U.S. Bancorp Investments, Inc.
    Florence, KY
    Covington, KY
    Crescent Springs, KY
    Covington, KY
    Ft Mitchell, KY
    Alexandria, KY
    Walton, KY
    Mason, OH
    Cincinnati, OH
    Newport, KY
    Mason, OH
    Cincinnati, OH
    Cincinnati, OH
    Ft Wright, KY
    Fairfield, OH
    Cincinnati, OH
    Hebron, KY
    Cold Spring, KY
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Cincinnati, OH
    Florence, KY
    Loveland, OH
    Florence, KY
    Loveland, OH
    Cincinnati, OH
    Covington, KY
    Independence, KY
    Covington, KY
    Ft Wright, KY
    Florence, KY
Other Businesses

1) - 07/12/2021 - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 07/2021

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-15
S63 Uniform Securities Agent State Law Examination 2005-05-06
  • S66 Uniform Combined State Law Examination
    2006-05-15
  • S63 Uniform Securities Agent State Law Examination
    2005-05-06
Designations
  • Certified Financial Planner
Other Names
  • Prescott Osterbrock

View on SEC IAPD

Nearby Firms

PFS INVESTMENTS INC.
EP WEALTH ADVISORS
DEAN DORTON WEALTH MANAGEMENT, LLC

Nearby Investors

CARDAIL BATISTE
DANIEL ROBERT HECT
ANDREW VARNER

Nearby Offices

PFS INVESTMENTS INC. · FORT WRIGHT, KY
LPL FINANCIAL LLC · FORT WRIGHT, KY
EP WEALTH ADVISORS · Fort Wright, KY

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