Individual Firm
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FREDERICK AYER FISHER
RICK FISHER
CRD#: 3075274
IA
B
OSTROFE FINANCIAL CONSULTANTS INCCRD#: 110064 420 SIERRA COLLEGE DRIVE
SUITE 200
GRASS VALLEY, CA 95945
SUITE 200
GRASS VALLEY, CA 95945
LPL FINANCIAL LLCCRD#: 6413 420 SIERRA COLLEGE DR # 200
GRASS VALLEY, CA 95945-9529
GRASS VALLEY, CA 95945-9529
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
California 11/29/2017
B
Indiana 2/12/2020
IA
California 4/6/2018
B
Michigan 11/29/2017
B
Colorado 1/26/2022
B
Minnesota 10/29/2020
B
Georgia 11/29/2017
B
Nevada 5/26/2020
B
Idaho 7/13/2020
B
Utah 9/29/2021
SRO Registrations
B
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IA
Registered with this firm since 4/6/2018
B
Registered with this firm since 11/29/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/29/2017 - 07/16/2018 | FORT MILL, SC | |
IA | 05/24/2000 - 11/29/2017 | GRASSVALLEY, CA | |
B | 05/02/2000 - 11/29/2017 | GRASSVALLEY, CA | |
B | 07/20/1998 - 05/15/2000 | BOSTON, MA |
GRASSVALLEY, CA
05/24/2000 - 11/29/2017
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.