NL
Nathan T. Leishman
OSTROFE FINANCIAL CONSULTANTS
Grass Valley, CA 95945
Some features on this profile are disabled
CRD#: 5711285
NL
Professional summary
Nathan Thomas Leishman, CFP® is a registered financial advisor currently at OSTROFE FINANCIAL CONSULTANTS INC located in Grass Valley, California and LPL FINANCIAL LLC located in Grass Valley, California.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Nathan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 4/24/2018 - Ostrofe Financial Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/05/2018 - 160 Hours Per Month/8 Hours During Securities Trading - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 50%.
2. 7/2/2018 - Ostrofe Financial Consultants Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date:09/05/2018 - 160 Hours Per Month/8 Hours During Trading - Time Spent: 50% - I provide investment advisory services through Ostrofe Financial Consultants Inc, LLC, an independent investment advisor firm. I started this business activity on 7/2/2018. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Thomas Leishman'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®
Experience
Current
June 26, 2018 - Present
OSTROFE FINANCIAL CONSULTANTS INC
Office #1: 565 Brunswick Road, Suite 15, Grass Valley, CA 95945RIA
CRD#: 110064
Grass Valley, CA
Current
June 7, 2018 - Present
LPL FINANCIAL LLC
Office #1: 420 Sierra College Dr # 200, Grass Valley, CA 95945RIA
BD
CRD#: 6413
Grass Valley, CA
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".
OF
OSTROFE FINANCIAL CONSULTANTS INC
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064 / SEC#: 801-34048
RIA
Registered Investment Advisory firm - (4/21/1989 Approved)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
California(6/18/2018)
IAR
California(6/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
OSTROFE FINANCIAL CONSULTANTS INC
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064 / SEC#: 801-34048
RIA
Registered Investment Advisory firm - (4/21/1989 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
420 Sierra College Drive Suite 200, Grass Valley, CA 95945
Mailing Address
Phone number
(530) 273-4425
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,526 |
| AUM (Assets Under Management) | $ 315,789,000 |
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.
Company Information
OSTROFE FINANCIAL CONSULTANTS INC
CRD#: 110064Grass Valley, CA 95945TRUST BUT VERIFY
Monitor Nathan Leishman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
