FO
Frederick C. Ostermeyer
AMERICAN INDEPENDENT SECURITIES GROUP
Sun City West, AZ
Some features on this profile are disabled
CRD#: 720599
FO
Professional summary
Frederick Carl Ostermeyer, AIF®, who also goes by Fred Ostermeyer, Frederick C Ostermeyer, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Sun City West, Arizona.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Frederick has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Ostermeyer | Frederick C Ostermeyer
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. Independent Insurance Agent- Investment Related- 1980- 23 to 30 hrs/mo-1hr/mo during trading- LTC, Disability, Health and other Insurance products 2. Idaho Dept of Insurance CE Advisory Committee- Committee member- IDAPA 18- Idaho Department of Insurance Company activities 18.06.04- Review all vendor CE materials in determining they meet requirements for providing CE for Idaho lic agents. - Investment related- 2 hrs/mo during trading hours- start: 12/01/2015- 700 W State Street, Floor 3, Boise ID 83720 3. Managed Resources, LLC- Owner- DBA for Insurance and Investment business- Investment Related-Start date 2/20/2001- 605 E 8th Ave Suite D, Post Falls, ID 83854 4.VENDER REVIEWCOMMITTEE POSITION: review vendor services NATURE: Committee member for the International Association of Registered Financial Consultants (IARFC) vendor review committee. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/08/2023 ADDRESS: PO Box 506, Middletown OH 45052, United States DESCRIPTION: Review potential product vendors such as phone systems, client management software, Redtail as an example, MyrepChat, etc
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Carl Ostermeyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Carl Ostermeyer'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
October 5, 2023 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #2: 810 N. Henry St. Ste. 230, Post Falls, ID 83854RIA
BD
CRD#: 135288
Sun City West, AZ
Current
October 5, 2023 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 810 N. Henry St. Ste. 230, Post Falls, ID 83854RIA
BD
CRD#: 135288
Post Falls, ID
Past
November 6, 2020 - October 5, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
POST FALLS, ID
Past
November 6, 2020 - October 5, 2023
ARBOR POINT ADVISORS
RIA
CRD#: 165127
POST FALLS, ID
Past
November 6, 2020 - October 5, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Sun City West, AZ
Past
September 30, 1999 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
POST FALLS, ID
Past
July 23, 1993 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
POST FALLS, ID
Past
December 24, 1986 - October 25, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
November 7, 1985 - August 3, 1993
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 26, 1982 - October 15, 1985
RICHARDS MERRILL WEALTH MANAGEMENT
BD
CRD#: 713
Past
December 17, 1980 - November 25, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
December 17, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
December 17, 1980 - October 25, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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
Arizona(10/5/2023)
RR
Florida(10/5/2023)
RR
Idaho(10/5/2023)
IAR
Idaho(10/5/2023)
RR
Illinois(10/5/2023)
RR
Indiana(10/6/2023)
RR
Montana(11/24/2025)
RR
Nevada(10/5/2023)
RR
South Carolina(11/20/2025)
RR
Utah(10/5/2023)
RR
Washington(10/5/2023)
RR
Wyoming(10/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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.
