CO
Carl M. Ostergaard
CITIZENS SECURITIES
Johnston, RI 02919
Some features on this profile are disabled
CRD#: 2945244
CO
Professional summary
Carl Martin Ostergaard JR., who also goes by Carl Martin Ostergaard Jr, Carl Ostergaard, Carl Martin Ostergaard, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Johnston, Rhode Island.
Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Carl has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Martin Ostergaard Jr | Carl Ostergaard | Carl Martin Ostergaard
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.
US Air Force Reserve / 1732 Vandenberg Avenue, McGuire AFB, NJ 08641 / USA / http://afreserve.com/ / Governmental Entity / Military / Employee / staff member / Chief Master Sergeant (E9) / Any Form of Compensation?: YES; $10,000 / Start Date 8/15/2001
CRS (Client Relationship Summary) - RIA
Click below to view Carl Martin Ostergaard JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carl Martin Ostergaard JR.'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®
NoneExperience
Current
January 11, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 1 Citizens Bank Way, Johnston, RI 02919RIA
BD
CRD#: 39550
Johnston, RI
Current
January 11, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 1 Citizens Bank Way, Johnston, RI 02919RIA
BD
CRD#: 39550
Johnston, RI
Past
December 16, 2020 - September 17, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MILLBURN, NJ
Past
December 7, 2020 - September 15, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MILLBURN, NJ
Past
August 11, 2010 - December 9, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WEEHAWKEN, NJ
Past
August 11, 2010 - December 9, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 8, 2005 - August 9, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
GREENVALE, NY
Past
November 8, 2005 - August 9, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
GREENVALE, NY
Past
July 31, 2002 - January 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NEW YORK, NY
Past
April 24, 2001 - January 11, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 24, 2001 - January 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW YORK, NY
Past
August 5, 1996 - March 6, 2001
SGI, LLC
BD
CRD#: 32922
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(1/11/2023)
IAR
New Jersey(1/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
