Edward L. Ostrom
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.
Edward Laurence Ostrom JR, who also goes by Ed Ostrom Jr, Edward Lawrence Ostrom Jr, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1967. Edward had worked at 12 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1998 - May 15, 1998
WALNUT STREET SECURITIES, INC.
March 25, 1992 - April 3, 1998
AEGON USA SECURITIES INC.
June 26, 1987 - March 16, 1992
VALLEY NATIONAL INVESTMENTS, INC.
February 26, 1987 - May 29, 1987
LCP CAPITAL CORP.
October 31, 1986 - March 3, 1987
ABACUS EQUITY SERVICES, INC.
May 22, 1984 - October 31, 1986
CARDELL & ASSOCIATES, INCORPORATED
May 9, 1977 - May 30, 1984
UNI EQ INVESTMENT GROUP, INC.
April 2, 1975 - August 19, 1979
ROTH SECURITIES COMPANY
November 8, 1974 - April 17, 1975
GIRARD INVESTMENT SERVICES, LLC
October 8, 1974 - January 11, 1975
CENTURY INVESTMENTS, INC.
September 11, 1973 - October 9, 1974
CAPITAL DEVELOPMENT ASSOCIATES, INC.
May 19, 1967 - September 28, 1973
EDUCATORS INVESTMENT SERVICES INC.
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 1
Date: 12/13/1965
Registered Representative ExaminationCurrent Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
