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CRD#: 29320
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

OMNI FINANCIAL SECURITIES, INC. is located at 1900 Polaris Parkway, Suite 450, Columbus, OH 43240 and was first established at Chicago, Ohio in 07/08/1991. After operating for 34 years, OMNI FINANCIAL SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of OMNI FINANCIAL SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. OMNI FINANCIAL SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at OMNI FINANCIAL SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access OMNI FINANCIAL SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at OMNI FINANCIAL SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for OMNI FINANCIAL SECURITIES, INC. Comes From

Understanding the Statistics for OMNI FINANCIAL SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
1900 Polaris Parkway, Suite 450, Columbus, OH 43240
Mailing Address
1900 Polaris Parkway, Suite 450, Columbus, OH 43240
Firm Size
Small
Phone Number
(614) 438-5300
Established
Ohio since 07/08/1991
Firm Type
Corporation
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
CENTERPOINT STEWARDSHIP, INC.PARENT COMPANY
MILLIKEN, RICHARD RYANVP OPERATIONS, 2ND PRINCIPAL (LIMITED), CHIEF COMPLIANCE OFFICER3217681
OSTRANDER, ROBERT VAN RENSSELAERPRESIDENT, GENERAL PRINCIPAL731229

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Advisor's working at OMNI FINANCIAL SECURITIES, INC.

RM

Ralph James Martinez

IAR
RR
CRD#: 1080618
Location:
Columbus, OH 43240
Company:
SWS ADVISORS, INC.
Disclosures:
Experience:
42 years
View Profile
LK

Louis Kin Shing Lo

Louis Kinshing, Louis Kin Shing Lo
IAR
RR
CRD#: 1574965
Location:
Columbus, OH 43240
Company:
SWS ADVISORS, INC.
Disclosures:
Experience:
39 years
View Profile
CM

Christopher A Martinez

IAR
RR
CRD#: 5216336
Location:
Columbus, OH 43240
Company:
SWS ADVISORS, INC.
Disclosures:
Experience:
17 years
View Profile
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