Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ozzie? Claim Your ProfileOzzie Isaac Fishman is a financial advisor with RBC Capital Markets, LLC. Ozzie has been in the financial services industry since 1981, previously working at UBS Financial Services Inc., Wells Fargo Advisors, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Ozzie holds Series 63, 65, 7, 8, 5 and 15 licenses. Ozzie is also a Certified Financial Planner. Ozzie provides financial planning, portfolio management for individuals and businesses, and pension consulting 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
IN
11/04/2022 - Present
RBC Capital Markets, LLC (INDIANAPOLIS IN)
OH
07/18/2011 - 11/04/2022
UBS FINANCIAL SERVICES INC. (Columbus OH)
OH
12/01/2006 - 07/20/2011
WELLS FARGO ADVISORS, LLC (DUBLIN OH)
OH
01/19/1981 - 12/14/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COLUMBUS OH)
IA
Issued 01/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 03/02/1984
Series 5 - Interest Rate Options Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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