John M. Ostrowski
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 M Ostrowski, who also goes by John Mark Ostrowski, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - April 4, 2024
J.P. MORGAN SECURITIES LLC
October 1, 2012 - April 4, 2024
J.P. MORGAN SECURITIES LLC
October 14, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 24, 2011
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 17, 2004 - August 2, 2005
BANC ONE SECURITIES CORPORATION
December 16, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 10, 2004 - August 4, 2004
CETERA WEALTH SERVICES, LLC
March 2, 2004 - August 4, 2004
CETERA WEALTH SERVICES, LLC
January 30, 2001 - July 7, 2003
CETERA WEALTH SERVICES, LLC
February 4, 1998 - July 7, 2003
CETERA WEALTH SERVICES, LLC
October 9, 1997 - December 10, 1997
SOUTHERN CAPITAL SECURITIES, INC.
January 15, 1997 - October 9, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 14, 1995 - August 2, 1996
SIGMA FINANCIAL CORPORATION
March 1, 1994 - July 17, 1995
AMFIN INVESTMENT SERVICES, INC.
April 7, 1992 - February 17, 1994
CAL FED INVESTMENTS
March 20, 1990 - November 19, 1990
MML INVESTORS SERVICES, LLC
September 6, 1988 - December 31, 1988
VESTAX SECURITIES CORPORATION
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
