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Carl Martin Ostergaard

Citizens Securities, Inc.

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About Carl Martin Ostergaard

Carl Martin Ostergaard is a registered investment advisor representative with Citizens Securities, Inc. Carl has been in the industry since 1997. Carl holds the Series 7, 24 and 63 registrations. Carl has worked for other financial institutions, including Fidelity Brokerage Services LLC, UBS Financial Services Inc., Chase Investment Services Corp., Ameriprise Financial Services, Inc., IDS Life Insurance Company and SGI, LLC.

Firm Information

Carl Ostergaard is currently registered with Citizens Securities, Inc.. Citizens Securities, Inc. is a corporation headquartered in Johnston, Rhode Island, and was formed on September 21, 1995. The firm manages approximately $1 billion to $10 billion in assets and provides financial planning, portfolio management for individuals and selection of other advisors. They also participate in a wrap fee program. The firm has regulatory assets under management of $9.19 billion in 53,044 accounts. Citizens Securities is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.
Citizens Securities, Inc.

ONE CITIZENS BANK WAY

JOHNSTON, RI 02043

$9.19B

Assets Under Management

53,044

Total Clients

788

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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participate in wrap fee program

Participate in wrap fee program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carl Ostergaard’s Registration & Firm History

MA

01/11/2023 - Present

Citizens Securities, Inc. (WESTWOOD MA)

NJ

12/07/2020 - 09/15/2022

FIDELITY BROKERAGE SERVICES LLC (MILLBURN NJ)

NJ

08/11/2010 - 12/09/2020

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

11/08/2005 - 08/09/2010

CHASE INVESTMENT SERVICES CORP. (GREENVALE NY)

NY

04/24/2001 - 01/11/2006

AMERIPRISE FINANCIAL SERVICES, INC. (NEW YORK NY)

MN

04/24/2001 - 01/11/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

NY

08/05/1996 - 03/06/2001

SGI, LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 04/13/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/15/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/09/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/24/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Carl Martin Ostergaard. Review regulatory record here.
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