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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

MICHAEL ROBERT OSGOOD

Advisor at LPL FINANCIAL LLC

DUBUQUE, IA

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Search this name across graphsid dfx:ria:8c237251-da41-472c-d76a-bd6dd37ed8f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 8, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 7, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 7, 2008
First registration: Feb 8, 2008
Dual registered: yes, broker-dealer
Other names: MICHAEL R OSGOOD
IAPD individual key: 5426196

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 26, 2022	n/a	yes	DUBUQUE, IA	Current employment
BALEFIRE, LLC	Independent wealth	Jul 31, 2018	Apr 28, 2022	no	Dubuque, IA\|DALLAS, TX	Previous registration
BALEFIRE, LLC	Independent wealth	Dec 3, 2015	Dec 31, 2017	no	East dubuque, IL	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Feb 26, 2013	Dec 2, 2015	no	WEST DES MOINES, IA\|WAVERLY, IA	Previous registration
CETERA INVESTMENT SERVICES LLC	Former SEC adviser	Sep 9, 2011	Apr 25, 2012	no	CLIVE, IA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 7, 2010	Sep 9, 2011	no	West Des Moines, IA	Previous registration
EDWARD JONES	National bd RIA	Feb 8, 2008	Mar 15, 2010	no	IOWA FALLS, IA\|ST LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BALEFIRE, LLC	LPL FINANCIAL LLC	Apr 28, 2022	Apr 26, 2022	-2	Firm change	RIA to RIA
CUNA BROKERAGE SERVICES, INC.	BALEFIRE, LLC	Dec 2, 2015	Dec 3, 2015	1	Firm change	Other
CETERA INVESTMENT SERVICES LLC	CUNA BROKERAGE SERVICES, INC.	Apr 25, 2012	Feb 26, 2013	307	Firm change	Other
MORGAN STANLEY	CETERA INVESTMENT SERVICES LLC	Sep 9, 2011	Sep 9, 2011	0	Firm change	Other
EDWARD JONES	MORGAN STANLEY	Mar 15, 2010	Jun 7, 2010	84	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
168733:6413:TX:2022-04-28	Apr 28, 2022	Apr 26, 2022	DALLAS, TX	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 26, 2022 to presentfactForm ADV
→ BALEFIRE, LLCRegistered adviserregistration: previous registration
Jul 31, 2018 to Apr 28, 2022factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Feb 26, 2013 to Dec 2, 2015factForm ADV
→ CETERA INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Sep 9, 2011 to Apr 25, 2012factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 7, 2010 to Sep 9, 2011factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 8, 2008 to Mar 15, 2010factForm ADV

Dated events

Occurred
Apr 28, 2022
Advisor changed firm
Michael Robert Osgood left Balefire, Llc for Lpl Financial Llc (registered 2022-04-26)
Form ADVobserved 6 days ago