Edmund G. Ostic
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.
Edmund George Ostic was a registered financial professional .
Edmund is a previously registered financial professional and started their career in finance in 1978. Edmund had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 7, Series 51, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - December 31, 2020
INDEPENDENT FINANCIAL GROUP, LLC
April 23, 2014 - December 31, 2018
SUMMIT BROKERAGE SERVICES, INC.
December 20, 2010 - May 1, 2014
LPL FINANCIAL LLC
February 24, 2005 - December 21, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2001 - February 15, 2005
CETERA INVESTMENT SERVICES LLC
March 17, 1998 - August 7, 2001
HILLTOP SECURITIES INC.
January 23, 1996 - March 5, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
February 11, 1992 - January 23, 1996
UBS FINANCIAL SERVICES INC.
September 14, 1982 - February 13, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 27, 1978 - September 27, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 12
Date: 10/16/1982
NYSE Branch Manager ExaminationCurrent Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
