AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TO

Thomas W. Ostrander

Some features on this profile are disabled
CRD#: 1542784
TO

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.

Thomas William Ostrander was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 26, 2011 - March 3, 2015

HOULIHAN LOKEY ADVISORS, LLC

BD
CRD#: 127835
NEW YORK, NY
Past

December 6, 2006 - July 10, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 28, 1997 - December 7, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 13, 1989 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

December 22, 1987 - March 10, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/3/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/1990
General Securities Principal Examination

Current Firm

HL
HOULIHAN LOKEY ADVISORS, LLC
GCA ADVISORS, LLC | SILVER CREEK CAPITAL ADVISORS, LLC | SAVVIAN ADVISORS, LLC | PERSEUS ADVISORS, LLC | HOULIHAN LOKEY ADVISORS, LLC | GCA SAVVIAN ADVISORS, LLC

CRD#: 127835 / SEC#: , 8-66065

BD
Terminated by SEC on 05/28/2024
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/2003
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GCA SAVVIAN, INC.PARENT COMPANY
AARON, STEVEN ROSSCHIEF COMPLIANCE OFFICER1298072
BALDWIN, GEOFFREY DUFFCO-CEO1500281
CARTER, TODD JOHNCO-CEO
LAMBROS, JOHN FORTUNEPRESIDENT2368612
TANIGUCHI, EDWARD NEALCHIEF FINANCIAL OFFICER4632869

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.

Company Information

HOULIHAN LOKEY ADVISORS, LLC

CRD#: 127835

TRUST BUT VERIFY

Monitor Thomas Ostrander

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics