Daniel Ostad
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.
Daniel Ostad, who also goes by Dan Ostad, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 3 firms and has passed the Series 63 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
June 1, 2001 - August 20, 2001
AUGMENT SECURITIES INC.
November 1, 1996 - May 9, 1997
INVESTORS ASSOCIATES, INC.
May 1, 1996 - September 30, 1996
INVESTORS ASSOCIATES, INC.
April 10, 1996 - May 14, 1996
KENSINGTON WELLS INCORPORATED
March 18, 1996 - April 3, 1996
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AUGMENT SECURITIES INC.
CRD#: 28373 / SEC#: , 8-43665
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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