Mark S. Ostroff
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Steven Ostroff was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 5, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2025 - March 31, 2026
MAI CAPITAL MANAGEMENT, LLC
February 18, 2025 - March 31, 2026
EVOKE ADVISORS
November 8, 2010 - December 31, 2012
LAZARD WEALTH MANAGEMENT
January 8, 2010 - May 23, 2012
LAZARD ASSET MANAGEMENT SECURITIES LLC
December 12, 2006 - November 9, 2009
CANTOR FITZGERALD & CO.
November 12, 2003 - October 5, 2005
URCHIN CAPITAL PARTNERS, LLC
May 8, 2001 - April 11, 2003
WEALTHPLACE SECURITIES LLC
June 14, 1999 - June 7, 2001
BOSTON INVESTING CORPORATION
July 5, 1996 - September 17, 1998
BOSTON PARTNERS SECURITIES, L.L.C.
September 19, 1995 - March 8, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1993 - September 8, 1994
GRAYSTONE PARTNERS L.P.
January 25, 1990 - March 5, 1993
KIDDER, PEABODY & CO. INCORPORATED
May 11, 1988 - January 30, 1990
MORGAN STANLEY & CO. LLC
December 17, 1985 - June 9, 1988
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 1/27/1986
Foreign Currency Options ExaminationSeries 5
Date: 12/26/1985
Interest Rate Options ExaminationCurrent Firm
MAI CAPITAL MANAGEMENT, LLC
CRD#: 109807 / SEC#: 801-58104
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 40,758 |
| AUM (Assets Under Management) | $ 29,630,499,856 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/20/2026 | ||
| 11/25/2024 | ||
| 01/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
