Michael D. Ossmen
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.
Michael Douglas Ossmen, AIF®, CIMA®, who also goes by Michael D Ossmen, Mike Ossmen, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2011 - February 4, 2016
ALLIANCEBERNSTEIN L.P.
September 22, 2011 - February 4, 2016
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 31, 2011 - August 10, 2011
TRANSAMERICA CAPITAL, LLC
January 13, 2011 - January 19, 2011
CNL SECURITIES CORP.
July 8, 2010 - December 1, 2010
DIRECTED SERVICES LLC
July 8, 2010 - December 1, 2010
DIRECTED SERVICES LLC
March 23, 2005 - June 8, 2010
EQUITABLE DISTRIBUTORS, LLC
June 22, 2004 - March 15, 2005
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 18, 2003 - June 9, 2004
WAMU INVESTMENTS, INC.
November 17, 2003 - June 9, 2004
WAMU INVESTMENTS, INC.
May 12, 2003 - November 14, 2003
DWS DISTRIBUTORS, INC.
December 22, 1999 - September 19, 2001
J.P. MORGAN SECURITIES LLC
February 4, 1999 - December 22, 1999
SANFORD C. BERNSTEIN & CO., INC.
April 15, 1997 - November 13, 1998
INVESCO CAPITAL MARKETS, INC.
February 7, 1994 - May 6, 1997
ZIONS DIRECT, INC.
July 20, 1988 - January 3, 1991
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
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
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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