AO
Allen F. Ostrofe
OSTROFE FINANCIAL CONSULTANTS
Grass Valley, CA 95945
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CRD#: 1247987
AO
Professional summary
Allen Francis Ostrofe is a registered financial advisor currently at OSTROFE FINANCIAL CONSULTANTS INC located in Grass Valley, California.
Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Allen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 11/29/17 - BLUE SHIELD - Investment Related - 1717 KETTNER BLVD., SUITE 200, SAN DIEGO, CA 92101 - Non-Variable Insurance - Agent(Group Medical Insurance) - start date 10/1/2008 - 1 hour per month.
2. 11/29/17 - WESTLAND FINANCIAL SERVICES - Investment Related - 1717 KETTNER BLVD., SUITE 200, SAN DIEGO, CA 92101 - Non-Variable Insurance - REPRESENTATIVE(FIXED Annuities and Long term care) - start date 10/1/2008.
3. 3/23/2018 - Ostrofe Financial Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/2016.
4. 4/11/2018 - Ostrofe Financial Consultants Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 01/1988 - 2 Hours Per Month - I provide investment advisory services through Ostrofe Financial Consultants Inc, an independent investment advisor firm. I started this business activity on 4/5/2018. I expect to spend approximately 2 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
5. 4/9/2019 - Allen & Sabine Ostrofe, ttees Ostrofe Family Trust dtd 12.13.91 - Investment Related - Home Based & San Diego, CA 92109 - Real Estate Rental - Started 08/15/2018 - 4 Hours Per Month/0 Hours During Securities Trading.
6. 4/9/2019 - Allen & Sabine Ostrofe, ttees Ostrofe Family Trust dtd 12.13.91 - Investment Related - Home Based & San Diego, CA 92109 - Real Estate Rental - 05/19/2O17 - 4 Hours Per Month During Securities Trading.
7. 4/9/2019 - Allen & Sabine Ostrofe, ttees Ostrofe Family Trust dtd 12.13.91 - Investment Related - Home Base & San Diego, CA 92109 - Real Estate Rental - Started 05/18/2012 - 4 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Allen Francis Ostrofe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 6, 2018 - Present
OSTROFE FINANCIAL CONSULTANTS INC
Office #1: 420 Sierra College Drive Suite 200, Grass Valley, CA 95945RIA
CRD#: 110064
Grass Valley, CA
Past
November 29, 2017 - July 16, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
GRASS VALLEY, CA
Past
November 29, 2017 - October 12, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
GRASS VALLEY, CA
Past
May 3, 2000 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GRASSVALLEY, CA
Past
January 16, 2000 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GRASSVALLEY, CA
Past
June 23, 1988 - May 15, 2000
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
April 18, 1984 - June 15, 1988
G. W. STORY & ASSOCIATES, INC.
BD
CRD#: 6277
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OF
OSTROFE FINANCIAL CONSULTANTS INC
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064 / SEC#: 801-34048
RIA
Registered Investment Advisory firm - (4/21/1989 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(4/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OF
OSTROFE FINANCIAL CONSULTANTS INC
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064 / SEC#: 801-34048
RIA
Registered Investment Advisory firm - (4/21/1989 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
420 Sierra College Drive Suite 200, Grass Valley, CA 95945
Mailing Address
Phone number
(530) 273-4425
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,526 |
| AUM (Assets Under Management) | $ 315,789,000 |
Red Flags
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Company Information
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064Grass Valley, CA 95945TRUST BUT VERIFY
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