John E. Ostrander
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.
John Ellery Ostrander, who also goes by John Ostrander, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2015 - October 11, 2023
FORESIDE FUND SERVICES, LLC
March 4, 2013 - October 15, 2014
SCOUT INVESTMENTS, INC.
November 26, 2012 - October 15, 2014
DISTRIBUTION SERVICES, LLC
March 20, 2006 - October 26, 2007
RMIN SECURITIES, INC.
February 17, 1994 - April 7, 2004
JANUS HENDERSON DISTRIBUTORS US LLC
February 3, 1989 - December 31, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 8, 1988 - September 21, 1988
AGFC INVESTMENT SECURITIES
December 1, 1986 - March 11, 1988
GFC SECURITIES CORPORATION
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
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
