Robert V. Ostrander

SWS ADVISORS

Columbus, OH 43240

Some features on this profile are disabled

CRD#: 731229

Professional summary

Robert Van Rensselaer Ostrander, CFP®, who also goes by Bob Ostrander, Robert Vanrenssel Ostrander, is a registered financial advisor currently at SWS ADVISORS, INC. located in Columbus, Ohio and OMNI FINANCIAL SECURITIES, INC. located in Columbus, Ohio.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Robert has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Tax Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Estate Planning

Retirement Planning

Education Planning

Business Succession Planning

Debt Management

Budgeting

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Bob Ostrander | Robert Vanrenssel Ostrander

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Van Rensselaer Ostrander'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®

CFP^®

Certified Financial Planner

Start date: 1979

Experience

Current

March 6, 2008 - Present

SWS ADVISORS, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

RIA

CRD#: 120054

Columbus, OH

Current

January 6, 1992 - Present

OMNI FINANCIAL SECURITIES, INC.

Office #1: 1900 Polaris Parkway Suite 450, Columbus, OH 43240Office #2: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

CRD#: 29320

Columbus, OH

Past

February 28, 2006 - December 31, 2007

SWS ADVISORS, INC.

RIA

CRD#: 120054

COLUMBUS, OH

Past

February 1, 1989 - January 13, 1992

OMNI CAPITAL MARKETS, INCORPORATED

CRD#: 23583

Past

April 2, 1986 - March 1, 1989

COLUMBUS EQUITIES INTERNATIONAL, INC.

CRD#: 7559

Past

September 11, 1984 - April 15, 1986

LPL FINANCIAL LLC

CRD#: 6413

Past

June 2, 1982 - September 20, 1984

FIRST PARK EQUITIES, INC.

CRD#: 5269

Past

May 18, 1981 - June 5, 1982

SINGER & COMPANY SECURITIES, INC.

CRD#: 6889

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.

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

IAR

Arizona
(3/4/2016)

Florida
(11/27/2012)

IAR

Florida
(6/27/2019)

Georgia
(6/25/2003)

IAR

Illinois
(1/3/2020)

Indiana
(5/18/1993)

Michigan
(11/27/2012)

Ohio
(1/13/1992)

IAR

Ohio
(3/6/2008)

Texas
(3/17/2014)

Washington
(11/27/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/23/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SWS ADVISORS, INC.

MANEX ADVISORS, INC | SWS ADVISORS, INC.

CRD#: 120054 / SEC#:

Arizona

Registered Investment Advisory firm - (3/4/2016 Approved)

Florida

Registered Investment Advisory firm - (6/27/2019 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2016 Approved)

Kentucky

Registered Investment Advisory firm - (12/31/2020 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2008 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/25/2016 Approved)

Texas

Registered Investment Advisory firm - (10/25/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

Mailing Address

Phone number

(614) 438-5300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 50,618,150

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert V. Ostrander

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Van Rensselaer Ostrander's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNI FINANCIAL SECURITIES, INC.

SWS ADVISORS, INC.

OMNI CAPITAL MARKETS, INCORPORATED

COLUMBUS EQUITIES INTERNATIONAL, INC.

LPL FINANCIAL LLC

FIRST PARK EQUITIES, INC.

SINGER & COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/1991

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1981

Series 24

Date: 1/25/1994

FINRA

Current Firm

SWS ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWS ADVISORS, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors