David Osborne is a registered investment advisor at Sunbelt Securities, based in Houston, TX, with 25 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 5,355 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Sunbelt Securities offers investment management through its Rep Directed Wrap Fee Program. The annual fee is a percentage of your portfolio, and the exact rate is negotiable. The maximum fee is 2.50% per year, charged monthly. This fee covers account management, brokerage, and clearance. Clients also pay separate annual maintenance fees, custodial fees, and termination fees charged by the custodian (National Financial Services, Fidelity, or Charles Schwab).
Location
2700 Post Oak Blvd Ste 1700, Houston, TX, 77056
Get directionsHistory
Regulatory History (2)
Criminal
June 2019Customer Dispute
December 2000Other Business Activities
David operates OA Capital as a Registered Representative under Sunbelt Securities, dedicating about a quarter of his time to this investment-related activity. He also owns DKO Investment Company LLC, an investment holding company, but spends no time on it.
Employment History
Current Registrations
Sunbelt Securities
Sunbelt Securities, INC.
Sunbelt Securities, INC.Broker
Previous Registrations
Sunbelt Securities, INC.Broker
Sunbelt Securities
Osborne Advisors, INC.
Hilltop Securities Independent Network INC.
Hilltop Securities Independent Network INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.