Douglas Philip Osber

CRD 1059483 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Naples, FL

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): SIESeries 3Series 7Series 22Series 6Series 9Series 10Series 8Series 65Series 63
Registered states (27): Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Illinois · Indiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · New Hampshire · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Vermont · Virginia · Washington
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1059483 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Naples, FL · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Naples, FL · BC capacity

start not retrieved → present
Advest, Inc.
Hartford, CT · IA capacity

Jun 4, 2001 → Mar 8, 2006
Advest, Inc.
Hartford, CT · BC capacity

May 11, 2001 → Mar 8, 2006
Legg Mason Wood Walker, Incorporated
Baltimore, MD · BC capacity

Aug 25, 1995 → May 30, 2001
Dean Witter Reynolds Inc.
Purchase, NY · BC capacity

Dec 15, 1987 → Sep 7, 1995
Moseley Securities Corporation
BC capacity

Aug 4, 1986 → Jan 1, 1988
North American Investment Corp.
BC capacity

Dec 23, 1985 → Aug 5, 1986
Mutual Benefit Financial Service Company
BC capacity

Nov 15, 1982 → Jan 2, 1986

Source & corrections

Where this page comes from

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