Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis L. Ostrom has been a registered investment advisor since July 1994. Francis is currently affiliated with Avantax Advisory Services, based in Dallas, Texas, as well as Davie Kaplan Wealth Care Advisors, LLC in Rochester, New York. Francis specializes in providing financial planning services, portfolio management, and pension consulting to individuals, corporations, and pension and profit-sharing plans. Francis holds the Series 6, Series 7, and Series 63 licenses, as well as the SIE designation.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
10/24/2023 - Present
Avantax Advisory Services (DALLAS TX)
NY
12/10/2013 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (ROCHESTER NY)
NY
10/01/2003 - 11/27/2013
ENSEMBLE FINANCIAL SERVICES, INC. (PITTSFORD NY)
MD
05/01/1995 - 10/01/2003
M&T SECURITIES, INC. (BALTIMORE MD)
NY
07/06/1994 - 05/01/1995
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
BC
Issued 06/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1998
Series 7 - General Securities Representative Examination
BC
Issued 07/05/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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