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William Osborne

Charles Schwab & CO., INC.
41 Years of Experience
Rockford, IL
1 DisclosureBroker
View SEC Summary
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William Osborne is a registered investment advisor at Charles Schwab & CO., INC., based in Rockford, IL, with 41 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

801 N Perryville, Suite 4, Rockford, IL, 61107

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 1993
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William works as an assistant event manager/usher for SMG Management, spending about 10-20% of his time in this role. He is also a trustee for the Knights of Columbus St. Rita Council, dedicating about 10-20% of his time to this non-profit charitable organization.

Employment History
Current Registrations
Charles Schwab & CO., INC.
June 2014 - Present · 12 yrs 4 mos
Charles Schwab & CO., INC.Broker
February 2014 - Present · 12 yrs 8 mos
Previous Registrations
TradingblockBroker
August 2012 - February 2014 · 1 yr 6 mos
Brokersxpress LLCBroker
November 2004 - August 2012 · 7 yrs 9 mos
1st Discount Brokerage, INC.Broker
August 2002 - November 2004 · 2 yrs 3 mos
Acument Securities, INC.Broker
March 1996 - August 2002 · 6 yrs 5 mos
Dain Bosworth IncorporatedBroker
January 1995 - March 1996 · 1 yr 2 mos
Dickinson & CO.Broker
January 1994 - January 1995 · 1 yr
Olde Discount CorporationBroker
April 1987 - January 1994 · 6 yrs 9 mos
Pruco Securities CorporationBroker
May 1986 - May 1987 · 1 yr
Nwnl Management CorporationBroker
October 1984 - April 1986 · 1 yr 6 mos
State Registrations44 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMIMNMOMSMTNCNENJNMNVNYOHOKORPASCSDTNTXUTVAWAWIWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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