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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ostmann is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has over 11 years of experience in the financial services industry. David has been registered with the Securities and Exchange Commission (SEC) and various state securities regulators since 2011. David is licensed to provide investment advice in 44 states. David has also passed the Uniform Combined State Law Examination, Uniform Securities Agent State Law Examination, General Securities Representative Examination, Securities Industry Essentials Examination and Investment Company Products/Variable Contracts Representative Examination. David has worked for several firms including J.P. Morgan Securities LLC and Chase Investment Services Corp. David's current firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is a leading financial services company that provides a wide range of investment products and services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
01/18/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CINCINNATI OH)
OH
10/01/2012 - 01/15/2019
J.P. MORGAN SECURITIES LLC (CINCINNATI OH)
OH
11/05/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MILFORD OH)
BOTH
Issued 01/06/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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