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David M Ostmann

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cincinnati, OH

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-01-20
TX RA APPROVED 2023-01-18
  • OH RA
    APPROVED
    Since 2023-01-20
  • TX RA
    APPROVED
    Since 2023-01-18

Branch Locations

312 Walnut St Pbig - Cincinnati, Cincinnati, OH 45202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Cincinnati OH 03/2011 12/2018
Merrill Lynch Cincinnati OH 04/2022 Present
Johnson Investment Counsel Cincinnati OH 01/2019 04/2022
  • 03/2011 → 12/2018
    Jpmorgan Chase
    Cincinnati, OH
  • 04/2022 → Present
    Merrill Lynch
    Cincinnati, OH
  • 01/2019 → 04/2022
    Johnson Investment Counsel
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-01-06
S63 Uniform Securities Agent State Law Examination 2011-11-15
  • S66 Uniform Combined State Law Examination
    2023-01-06
  • S63 Uniform Securities Agent State Law Examination
    2011-11-15
Other Names
  • Dave Ostmann

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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