Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you E? Claim Your ProfileE Ostendorff has been working in the financial services industry since August 25, 1989. E is registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as an Investment Adviser Representative. E has been registered with this firm since September 1995. E also has prior registration history with Jefferson-Pilot Investor Services, Inc. and Phoenix Equity Planning Corporation. E has passed the following exams: Series 6, Series 7, Series 63, Series 65 and SIE. E is registered in 30 states and the District of Columbia for securities and investment advisory services. E has been registered with the state of North Carolina for both securities and investment advisory services since 1995 and 2002 respectively. E has also been registered in Texas for investment advisory services since 2001. E has been registered with the state of Texas for securities since 2013. E is registered with the state of Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nebraska, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Virginia, and Washington. E is also registered with FINRA.
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
NC
08/08/2001 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RALEIGH NC)
IN
05/05/1992 - 12/06/1995
JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)
NA
08/20/1985 - 04/28/1988
PHOENIX EQUITY PLANNING CORPORATION
IA
Issued 2/21/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/4/1996
Series 7 - General Securities Representative Examination
BC
Issued 5/4/1992
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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