Michael B. Ostow
Professional summary
Michael Benjamin Ostow, who also goes by Michael B Ostow, Michael Ostow, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Benjamin Ostow's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2018 - Present
ROTHSCHILD & CO US INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020January 27, 2010 - July 23, 2018
UBS SECURITIES LLC
September 19, 2006 - January 7, 2010
MORGAN STANLEY & CO. LLC
December 18, 2000 - September 25, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 31, 1998 - December 18, 2000
PERSHING LLC
January 21, 1997 - April 1, 1998
UBS SECURITIES LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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