Marjorie M. Ostrove
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.
Marjorie Merle Ostrove, who also goes by Margie Ostrove, was a registered financial professional .
Marjorie is a previously registered financial professional and started their career in finance in 1993. Marjorie had worked at 9 firms and has passed the 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
September 14, 2021 - July 29, 2022
C. L. KING & ASSOCIATES, INC.
January 2, 2013 - April 3, 2019
BB&T SECURITIES, LLC
February 9, 2007 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
March 22, 2004 - January 25, 2007
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
March 25, 2003 - December 31, 2003
NATIVE AMERICAN SECURITIES COMPANY, INC.
December 4, 2000 - April 15, 2004
DUPONT SECURITIES GROUP, INC.
May 8, 1997 - September 20, 2000
FINANCIAL NORTHEASTERN SECURITIES, INC.
December 23, 1994 - February 25, 1997
UBS FINANCIAL SERVICES INC.
January 4, 1993 - January 17, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 1 |
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.
