Kathleen Osborne-Davis has been an investment adviser representative at Capital Asset Management since June 2019, and is not listed among the firm’s executive officers or direct owners. Kathleen Osborne-Davis holds a BS in Education from Louisiana State University and an MA in Sports Medicine from Western Michigan University.
Capital Asset Management, LLC is a Denver, CO firm with $209M under management, 162 clients and 4 advisers across 3 offices, as of its March 2026 filing.
Kathleen Osborne-Davis is an Investment Advisor Representative of Capital Asset Management, LLC. Kathy has been a financial services professional for over 25 years and works under the direction of the firm in Denver, CO. Earlier she worked as Co-Head Athletic Trainer in LSU's Athletic Department for 10 years, and after serving on the 1992 Olympic Medical Staff in Barcelona, Spain, she turned her interest to finance.
Kathleen Osborne-Davis’ longest registration was 14 years at Valic Financial Advisors, Inc. (2003–2018). Before joining Capital Asset Management in 2019, Kathleen Osborne-Davis was registered through Valic Financial Advisors, Inc.
- – present · 7 yearsBaton Rouge, LA · Adviser representative · Firm CRD 284505
- Valic Financial Advisors, Inc.– · 14 yearsBaton Rouge, LA · Adviser representative · Firm CRD 42803
Investment adviser representative registrations
Kathleen Osborne-Davis is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2019; the most recent is Texas, in March 2026.
- LouisianaSince 24 June 2019
- TexasResidentSince 24 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 26 July 2007 |
| Series 7 | General Securities Representative Examination | 29 May 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 March 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 October 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Kathleen Diane Osborne-Davis
- CRD
- 2277081
- Firm
- Capital Asset Management · CRD 284505
- Office
- Baton Rouge, LA
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1994
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- capasset.net
Where does Kathleen Osborne-Davis work?
Kathleen Osborne-Davis is an investment adviser representative registered through Capital Asset Management, LLC since June 2019, and is not listed among the firm’s executive officers or direct owners.
Is Kathleen Osborne-Davis a financial advisor?
Yes. Kathleen Osborne-Davis has a current investment-adviser registration in Louisiana and Texas, through Capital Asset Management since June 2019.
How many years of experience does Kathleen Osborne-Davis have?
Kathleen Osborne-Davis has 32 years in the financial industry, since January 1994, across 2 adviser firms.
What exams has Kathleen Osborne-Davis passed?
Kathleen Osborne-Davis has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 66. The earliest, the Series 6, was passed in October 1992. FINRA credited Kathleen Osborne-Davis with the SIE, which began in October 2018.
Where did Kathleen Osborne-Davis work before Capital Asset Management?
Before Capital Asset Management, Kathleen Osborne-Davis was registered through Valic Financial Advisors, Inc., July 2003 to March 2018.
Where is Kathleen Osborne-Davis based?
Kathleen Osborne-Davis’ registered office is in Baton Rouge, LA.
Is Kathleen Osborne-Davis registered with FINRA?
Yes. Kathleen Osborne-Davis has a current broker registration, under CRD 2277081.
Source: FINRA BrokerCheck
How can I verify Kathleen Osborne-Davis’ record?
Search CRD 2277081 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kathleen Osborne-Davis’ full registration record.
