Stephen D. Ostrofsky
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Boynton Beach,, FL 33426
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CRD#: 1551279
Professional summary
Stephen Daniel Ostrofsky, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Boynton Beach,, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Boynton Beach,, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 22 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Daniel Ostrofsky'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®
CFP®
Start date: 1997
Experience
Current
March 17, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1301 N. Congress Avenue, Suite 340, Boynton Beach,, FL 33426RIA
CRD#: 134139
Boynton Beach,, FL
Current
March 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1301 N. Congress Ave, Suite 340, Boynton Beach,, FL 33426BD
CRD#: 39543
Boynton Beach,, FL
Past
June 30, 2014 - March 8, 2022
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Boynton Beach, FL
Past
May 19, 2014 - March 8, 2022
KOVACK SECURITIES INC.
BD
CRD#: 44848
Boynton, FL
Past
November 29, 2006 - October 15, 2009
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past
November 20, 2006 - October 15, 2009
KOVACK SECURITIES INC.
BD
CRD#: 44848
POMPANO BEACH, FL
Past
November 2, 2004 - August 19, 2005
K.W. BROWN INVESTMENTS
RIA
CRD#: 16492
DELRAY BEACH, FL
Past
November 2, 2004 - October 12, 2006
21TH CENTURY ADVISORS INC
RIA
CRD#: 106038
DELRAY BEACH, FL
Past
October 26, 2004 - August 19, 2005
K.W. BROWN INVESTMENTS
BD
CRD#: 16492
DELRAY BEACH, FL
Past
October 3, 2001 - December 9, 2002
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BOCA RATON, FL
Past
October 3, 2001 - December 9, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 3, 2001 - December 9, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 28, 2000 - October 3, 2001
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
January 11, 1999 - April 24, 2000
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
October 16, 1997 - January 11, 1999
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
March 1, 1996 - October 10, 1997
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 1, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
March 21, 1994 - October 26, 1995
WORLD INVEST CORPORATION
BD
CRD#: 17223
DEERFIELD BEACH, FL
Past
December 10, 1990 - April 11, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 10, 1990 - April 11, 1994
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 12, 1990 - December 31, 1990
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
June 12, 1990 - October 19, 1992
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Past
April 24, 1990 - September 6, 1990
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
January 2, 1987 - February 13, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
January 2, 1987 - February 13, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 27, 1986 - December 22, 1986
VANDEMAN & FULTON SECURITIES, INC.
BD
CRD#: 18264
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
1938 WEALTH ADVISORS | GATEWAY FINANCIAL ADVISORS | FOCUSED WEALTH ADVISORS LLC | FOCUSED WEALTH ADVISORS | FLIGHT FINANCIAL GROUP | FINANCIAL VISION, LLC | FINANCIAL VISION ADVISORY SERVICES, LLC | FINANCIAL INTEGRATORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | FIDUCIA LIFE GROUP | ELEFANT FINANCIAL | DUVAN BROCK FINANCIAL SERVICES, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | DRYSDALE WEALTH MANAGEMENT | DOMAN FINANCIAL | DIAMOND CAPITAL WEALTH | DEMPSEY LORD SMITH, LLC | CROWN WEALTH MANAGEMENT, INC. | CRNA FINANCIAL | CORNERSTONE ADVISORY GROUP, INC. | CORE NORTH CAPITAL PLANNING | COPIA INVESTMENTS | COOSA FINANCIAL PLANNING LLC | CAPITAL WEALTH ADVISORS LLC | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | BUSINESS AND FINANCIAL STRATEGIES LLC | BUSINESS AND FINANCIAL STRATEGIES | BUSINESS & FINANCIAL STRATEGIES, LLC | BUSINESS & FINANCIAL STRATEGIES | BURNS FINANCIAL SERVICES | BULLS FINANCIAL GROUP | BULL AND BEAR WEALTH MANAGEMENT PARTNERS, LLC | BULL AND BEAR WEALTH MANAGEMENT PARTNERS | BULL & BEAR WEALTH MANAGEMENT PARTNERS LLC | BUETOW AND SPITZLEY WEALTH MANAGEMENT | BRUCE W MOLDS | BROOKE & SCHAFER, LLC | BROBERG INVESTMENT GROUP, LLC | BRIDGEWAY FINANCIAL SERVICES | BRIDGES WEALTH MANAGEMENT | BREEN FINANCIAL MANAGEMENT, INC. | BRANDON LUEDTKE D.B.A. SMARTPRO FINANCIAL | BRACKEN FINANCIAL | BOYER AND SAPPENFIELD INVESTMENT ADVISOR | BOYER & SAPPENFIELD INVESTMENT ADVISORS | BOWBRIDGE ADVISORY GROUP | BORIA WEALTH MANAGEMENT, LTD | BORIA WEALTH MANAGEMENT | BLUSHGOLD WEALTH AND LEGACY LLC DBA BLUSHGOLD WEALTH AND LEGACY/DBA BLUSHGOLDWEALTH/DBA BLUSHGOLDWEALTH.COM | BLUEBIRD PRIVATE WEALTH LLC DBA BLUEBIRD PRIVATE WEALTH | BLUE DOT WEALTH MANAGEMENT | BLAKE MARTIN FINANCIAL | BINGHAM FINANCIAL | BFG ADVISORS | BEYOND WEALTH, LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC. | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BASS FINANCIAL STRATEGIES, INC. | BARTLETT WEALTH MANAGEMENT | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT, INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE, LLC | AXIOM WEALTH ALLIANCE | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS | ASSOCIATED PLANNING SERVICES, INC. | ASPIRE INVESTMENT MANAGEMENT | ASCEND WEALTH CONSULTING | ARROWSTAR FINANCIAL | ARNER INVESTMENT MANAGEMENT LLC | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP, LLC | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP | AMERIFLEX GROUP | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING, LLC | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGI FINANCIAL SERVICES, INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGEUS FINANCIAL SOLUTIONS, INC. | ADVOCACY ADVISORS | ADVISORYSOUTH, LLC | ADVISORY SOUTH | ADVISORS ON CALL, LLC | ADUDDELL CONSULTING, LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTATION FINANCIAL | ADAMS & ASSOCIATES, INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | ABU | ADAM UDY GROUP | ABRAM WEALTH ADVISORS | A NEW PATH FINANCIAL | 4M FINANCIAL | 3D FINANCIAL SERVICES...
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(3/9/2022)
IAR
Florida(3/17/2022)
RR
Tennessee(3/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
1938 WEALTH ADVISORS | GATEWAY FINANCIAL ADVISORS | FOCUSED WEALTH ADVISORS LLC | FOCUSED WEALTH ADVISORS | FLIGHT FINANCIAL GROUP | FINANCIAL VISION, LLC | FINANCIAL VISION ADVISORY SERVICES, LLC | FINANCIAL INTEGRATORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | FIDUCIA LIFE GROUP | ELEFANT FINANCIAL | DUVAN BROCK FINANCIAL SERVICES, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | DRYSDALE WEALTH MANAGEMENT | DOMAN FINANCIAL | DIAMOND CAPITAL WEALTH | DEMPSEY LORD SMITH, LLC | CROWN WEALTH MANAGEMENT, INC. | CRNA FINANCIAL | CORNERSTONE ADVISORY GROUP, INC. | CORE NORTH CAPITAL PLANNING | COPIA INVESTMENTS | COOSA FINANCIAL PLANNING LLC | CAPITAL WEALTH ADVISORS LLC | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | BUSINESS AND FINANCIAL STRATEGIES LLC | BUSINESS AND FINANCIAL STRATEGIES | BUSINESS & FINANCIAL STRATEGIES, LLC | BUSINESS & FINANCIAL STRATEGIES | BURNS FINANCIAL SERVICES | BULLS FINANCIAL GROUP | BULL AND BEAR WEALTH MANAGEMENT PARTNERS, LLC | BULL AND BEAR WEALTH MANAGEMENT PARTNERS | BULL & BEAR WEALTH MANAGEMENT PARTNERS LLC | BUETOW AND SPITZLEY WEALTH MANAGEMENT | BRUCE W MOLDS | BROOKE & SCHAFER, LLC | BROBERG INVESTMENT GROUP, LLC | BRIDGEWAY FINANCIAL SERVICES | BRIDGES WEALTH MANAGEMENT | BREEN FINANCIAL MANAGEMENT, INC. | BRANDON LUEDTKE D.B.A. SMARTPRO FINANCIAL | BRACKEN FINANCIAL | BOYER AND SAPPENFIELD INVESTMENT ADVISOR | BOYER & SAPPENFIELD INVESTMENT ADVISORS | BOWBRIDGE ADVISORY GROUP | BORIA WEALTH MANAGEMENT, LTD | BORIA WEALTH MANAGEMENT | BLUSHGOLD WEALTH AND LEGACY LLC DBA BLUSHGOLD WEALTH AND LEGACY/DBA BLUSHGOLDWEALTH/DBA BLUSHGOLDWEALTH.COM | BLUEBIRD PRIVATE WEALTH LLC DBA BLUEBIRD PRIVATE WEALTH | BLUE DOT WEALTH MANAGEMENT | BLAKE MARTIN FINANCIAL | BINGHAM FINANCIAL | BFG ADVISORS | BEYOND WEALTH, LLC | BEYOND FINANCIAL PLANNING | BETTENDORF FINANCIAL GROUP | BETA INDUSTRIES INC. | BESSELMAN AND ASSOCIATES DBA BESSELMAN WEALTH PLANNERS | BERGERON FINANCIAL | BENZOR CAPITAL WEALTH | BENOIT FINANCIAL PLANNERS | BENKENDORFER INVESTMENT GROUP | BENCHMARK WEALTH ADVISORY LLC | BEDFORD WEALTH ADVISORS | BECKWITH FINANCIAL SERVICES | BEALE FINANCIAL GROUP | BEACON COVE FINANCIAL | BEACON CAPITAL MANAGEMENT ADVISORS | BCB INVESTMENT SERVICES | BAWAR ASSET MANAGEMENT LLC | BASS FINANCIAL STRATEGIES, INC. | BARTLETT WEALTH MANAGEMENT | BARKER INVESTMENT SERVICES | BARCOMB WEALTH MANAGEMENT | BARBARA MULL INVESTMENT SOLUTIONS | BAR -G FINANCIAL SERVICES | BANK IOWA INVESTMENT CENTER | BAKER WEALTH MANAGEMENT, INC | BAKER WEALTH MANAGEMENT | BAKER FINANCIAL GROUP | B RENNER LLC | AXIOM WEALTH PARTNERS, LLC | AXIOM WEALTH PARTNERS | AXIOM WEALTH ALLIANCE, LLC | AXIOM WEALTH ALLIANCE | ATTITUDE FINANCIAL ADVISORS | ATTAIN WEALTH PLANNING | ATLAS WEALTH ADVISERS | ATLAS ADVISORY GROUP | ATLANTIC CAPITAL PARTNERS | ATHLON WEALTH ADVISORS | ATHLON ADVISORS | ASSOCIATED PLANNING SERVICES, INC. | ASPIRE INVESTMENT MANAGEMENT | ASCEND WEALTH CONSULTING | ARROWSTAR FINANCIAL | ARNER INVESTMENT MANAGEMENT LLC | AR WEALTH MANAGEMENT | APEX FINANCIAL GROUP, LLC | ANNA VOLLENWEIDER DBA SIMPLICITY FINANCIAL PLANNING LLC | ANGLE-LAU WEALTH MANAGEMENT | ANCHOR WEALTH MANAGEMENT LLC | ANCHOR WEALTH MANAGEMENT | ANCHOR POINT WEALTH ADVISORS LLC | ANCHOR CERTIFIED PLANNERS GROUP | AMERIFLEX GROUP | ALPHATRUST ADVISORS | ALPHA RETIREMENT SOLUTIONS | ALPHA FINANCIAL SERVICES | ALLISON INVESTMENT PLANNING, LLC | ALIGNED WEALTH GROUP | ALEXANDER FINANCIAL | ALEXANDER CAPITAL MANAGEMENT | ALCHEMY FINANCIAL GROUP | AHRENS AND ASSOCIATES | AGI FINANCIAL SERVICES, INC | AGAPE FINANCIAL SERVICES | AFFIRM FINANCIAL PARTNERS LLC | AEGEUS FINANCIAL SOLUTIONS, INC. | ADVOCACY ADVISORS | ADVISORYSOUTH, LLC | ADVISORY SOUTH | ADVISORS ON CALL, LLC | ADUDDELL CONSULTING, LLC DBA CHARTERED FINANCIAL SERVICES | ADAPTATION FINANCIAL | ADAMS & ASSOCIATES, INC | ADAM UDY GROUP | ACUTE WEALTHCARE LLC | ACCESSION FINANCIAL GROUP | ABU | ADAM UDY GROUP | ABRAM WEALTH ADVISORS | A NEW PATH FINANCIAL | 4M FINANCIAL | 3D FINANCIAL SERVICES...
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)PREMIUM
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/16/2025 | ||
| 11/26/2025 | ||
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Boynton Beach,, FL 33426TRUST BUT VERIFY
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