Mark G. Ostersmith
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 Gilbert Ostersmith, who also goes by Mark Gilbert Smith, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 5 firms and has passed the Series 63, Series 65, Series 6, Series 52, Series 62, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2013 - August 8, 2014
MCADAMS WRIGHT RAGEN, INC.
July 12, 2013 - August 8, 2014
MCADAMS WRIGHT RAGEN, INC.
February 13, 2012 - June 28, 2013
PARTNERS CAPITAL MANAGEMENT, INC.
February 9, 2005 - June 28, 2013
PARTNERS INVESTMENT NETWORK, INC.
December 7, 1999 - August 31, 2004
PARTNERS INVESTMENT NETWORK, INC.
September 14, 1995 - January 5, 1998
WAMU INVESTMENTS, INC.
July 13, 1988 - August 22, 1988
V.H. COSTELLO SECURITIES, INC.
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 62
Date: 3/11/2010
Corporate Securities Limited Representative ExaminationCurrent Firm
MCADAMS WRIGHT RAGEN, INC.
CRD#: 45899 / SEC#: 801-55918, 8-51232
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| DIRECTOR, DAVID JEROME | EXECUTIVE VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP/DIRECTOR | 1060159 |
| GUAGLIARDO, ALICIA MARIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2091180 |
| MCADAMS, SCOTT WAYNE | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 1559165 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| RAGEN, BROOKS GEER | CHAIRMAN OF THE BOARD/DIRECTOR | 370117 |
| RAGEN, CAMERON BROOKS | SENIOR VICE PRESIDENT | 2140003 |
| ROGOWSKI, ROBERT JOHN | MANAGING DIRECTOR & DEPART CHAIR, INVESTMENT BANKING | 1818321 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| ZARCONE, DOMINICK PAUL | DIRECTOR | 2154034 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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