Nathan J. Ostertag

AEGIS INVESTMENT MANAGEMENT

Red Wing, MN 55066

Some features on this profile are disabled

CRD#: 2453974

Professional summary

Nathan John Ostertag, who also goes by John N Ostertag, is a registered financial advisor currently at AEGIS INVESTMENT MANAGEMENT, LLC located in Red Wing, Minnesota.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Nathan has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John N Ostertag

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Nathan Ostertag is a licensed insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan John Ostertag's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 1, 2019 - Present

AEGIS INVESTMENT MANAGEMENT, LLC

Office #1: 406 Main Street Ste B, Red Wing, MN 55066

RIA

CRD#: 300985

Red Wing, MN

Past

March 20, 2017 - June 25, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN ANTONIO, TX

Past

March 15, 2017 - June 27, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN ANTONIO, TX

Past

September 23, 2014 - March 9, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BLOOMINGTON, MN

Past

September 23, 2014 - March 9, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BLOOMINGTON, MN

Past

January 14, 2013 - August 26, 2014

MORGAN STANLEY

RIA

CRD#: 149777

BLOOMINGTON, MN

Past

January 14, 2013 - August 26, 2014

MORGAN STANLEY

CRD#: 149777

BLOOMINGTON, MN

Past

May 26, 2010 - September 10, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

ST. PAUL, MN

Past

April 27, 2010 - September 10, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

ST. PAUL, MN

Past

April 20, 2010 - September 10, 2012

TD AMERITRADE, INC.

CRD#: 7870

ST. PAUL, MN

Past

December 3, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 3, 2004 - May 28, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

August 26, 2003 - March 1, 2004

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

May 14, 2002 - February 25, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 27, 2000 - May 6, 2002

GERARD ASSET MANAGEMENT, LTD.

CRD#: 38097

MENOMONEE FALLS, WI

Past

December 15, 1998 - April 16, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 15, 1998 - April 16, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 18, 1996 - October 1, 1998

AMERICAN EXPRESS SERVICE CORPORATION

CRD#: 10518

MINNEAPOLIS, MN

Past

August 28, 1996 - July 1, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 28, 1996 - July 1, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

November 20, 1995 - March 27, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Minnesota
(10/1/2019)

IAR

Texas
(10/24/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/26/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/29/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2007

General Securities Principal Examination

Current Firm

AEGIS INVESTMENT MANAGEMENT, LLC

CRD#: 300985 / SEC#:

Minnesota

Registered Investment Advisory firm - (10/1/2019 Approved)

Texas

Registered Investment Advisory firm - (10/23/2019 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

406 Main Street Ste B, Red Wing, MN 55066

Mailing Address

Phone number

(612) 875-0105

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 12,328,981

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.

Similar Advisors

Terry Scipio

SCIPIO FINANCIAL LLC

IAR

SUMMERVILLE, SC

Augustine Hong

HIGHTOWER ADVISORS, LLC

IAR

Bradenton, FL

Erin Eiras

INDEPENDENT ADVISOR ALLIANCE, LLC

IAR

Jacksonville, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nathan J. Ostertag

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan John Ostertag's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

USALLIANZ SECURITIES, INC.

EQUITABLE ADVISORS, LLC

GERARD ASSET MANAGEMENT, LTD.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS SERVICE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2010

Series 65

Date: 12/29/1995

Series 63

Date: 11/28/1995

SIE

Date: 6/27/2018

Series 7

Date: 11/13/1995

Series 24

Date: 12/14/2007

Current Firm

AEGIS INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AEGIS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors