Christopher M. Ostoich
Professional summary
Christopher Mark Ostoich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Christopher had worked at 6 firms, which includes WADDELL & REED, UBS FINANCIAL SERVICES INC., FIFTH THIRD SECURITIES INC., BANC ONE SECURITIES CORPORATION, THE HUNTINGTON INVESTMENT COMPANY, J.J.B. HILLIARD W.L. LYONS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2005 - March 7, 2006
WADDELL & REED
April 5, 2005 - March 7, 2006
WADDELL & REED
June 7, 2004 - January 13, 2005
UBS FINANCIAL SERVICES INC.
June 4, 2004 - January 13, 2005
UBS FINANCIAL SERVICES INC.
January 21, 2003 - March 4, 2004
FIFTH THIRD SECURITIES, INC.
November 29, 2001 - January 7, 2003
BANC ONE SECURITIES CORPORATION
July 3, 2001 - August 24, 2001
THE HUNTINGTON INVESTMENT COMPANY
May 25, 2000 - March 20, 2001
J.J.B. HILLIARD, W.L. LYONS, 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
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