Francis L Ostrom

Current Employers

Employment History

• 12/2013 → 10/2019
  1St Global Capital Corp
  Rochester, NY
• 12/2013 → 09/2025
  Avantax Insurance Services, Inc.
  Rochester, NY
• 12/2013 → 10/2019
  1St Global Advisors, Inc
  Rochester, NY
• 12/2013 → Present
  Dkcb Financial Advisors, Llc
  Rochester, NY
• 12/2013 → Present
  Davie Kaplan Wealth Care Advisors, Llc
  Rochester, NY
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Rochester, NY
• 10/2023 → 09/2025
  Avantax Advisory Services
  Rochester, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Rochester, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-10-24 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Rochester, NY
  Rochester, NY

Other Businesses

1) DKCB FINANCIAL ADVISORS LLC POSITION: IAR NATURE: REFER HIGH NET WORTH CLIENTS TO RIA AS APPLICABLE - SECURITY RELATED BUSINESS INVESTMENT RELATED: YES NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 12/02/2013 ADDRESS: ROCHESTER NY 14614 DESCRIPTION: IND RIA; REFERRING ONLY; REFER HIGH NET WORTH CLIENTS TO RIA AS APPLICABLE 2) DAVIE KAPLAN WEALTH CARE ADVISORS (INSURANCE) POSITION: INSURANCE AGENT NATURE: SEPARATE RIA FOR THE PURPOSES OF THIRD PARTY ASSET MANAGEMENT AND INSURANCE INVESTMENT RELATED: YES NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/02/2013 ADDRESS: 1000 FIRST FEDERAL PLAZA, ROCHESTER NY 14614 DESCRIPTION: CONDUCTS INSURANCE SALES/REFERRALS 3) DAVIE KAPLAN WEALTH CARE ADVISORS, LLC (RIA) POSITION: IAR, NATURE: FINANCIAL PLANNING, INVESTMENT RELATED: YES NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 5 START DATE: 06/30/2014 ADDRESS: , ROCHESTER NY 14614 DESCRIPTION: AS THE DIRECTOR OF FINANCIAL SERVICES, I COORDINATE THE SALES, MARKETING AND ONGOING CLIENT SERVICING OF DAVIE KAPLAN WEALTH CARE ADVISORS, LLC 4) ROCHESTER ROTARY CHARITABLE TRUST INVESTMENT COMMITTEE POSITION: INVESTMENT COMMITTEE MEMBER NATURE: THE ROCHESTER ROTARY CHARITABLE TRUST OVERSEES THE MANAGEMENT OF AND FINANCES FOR THE ROTARY SUNSHINE CAMPUS. FOR 90 YEARS, ROCHESTER ROTARY HAS OFFERED A SUMMER CAMPING PROGRAM FOR YOUNG PEOPLE WITH DISABILITIES, CALLED SUNSHINE CAMP, AND HAS BEEN SPREADING SUNSHINE TO THOUSANDS OF CAMPERS IN THE ROCHESTER COMMUNITY. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2019 ADDRESS: 180 LINDEN OAKS, SUITE 200, ROCHESTER NY 14625 DESCRIPTION: A MEMBER ROCHESTER ROTARY CHARITABLE TRUST INVESTMENT COMMITTEE. RESPONSIBILITY TO ATTEND MEETINGS CALLED BY THE COMMITTEE CHAIRPERSON. 5) AUDIT COMMITTEE MEMBER, ROCHESTER ROTARY CHARITABLE TRUST POSITION: AUDIT COMMITTEE MEMBER NATURE: PARTICIPATE ON COMMITTEE WITH TWO OTHER PROFESSIONALS TO PROVIDE OVERSIGHT TO THE REVIEW OF FINANCIAL STATEMENTS PREPARED BY INDEPENDENT AUDITORS OF THE ROCHESTER ROTARY CHARITABLE TRUST INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/18/2021 ADDRESS: 180 LINDEN OAKS, SUITE 200, ROCHESTER NY 14625, DESCRIPTION: TO PROVIDE OVERSIGHT OF MANAGEMENT'S CONDUCT OF THE ROCHESTER ROTARY CHARITABLE TRUSTS' FINANCIAL REPORTING PROCESS 6) ADMINISTRATOR OF ESTATE OF LORETTA E. KELLEHER POSITION: ADMINISTRATOR NATURE: ADMINISTRATOR OF ESTATE OF LORETTA E. KELLEHER. LORETTA WAS AN AUNT OF MINE AND MY MOTHER'S SISTER. MY MOTHER, BARBARA K. OSTROM (DECEASED: 01/10/2022) WAS THE ONLY REMAINING SIBLING OF LORETTA BEFORE HER DEATH. INVESTMENT RELATED: NO NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 07/31/2023 ADDRESS: 102 BROADMOOR TRAIL, FAIRPORT NY 14450 DESCRIPTION: MY RESPONSIBILITIES WILL BE TO DETERMINE WHAT IF ANY ASSETS AND LIABILITIES LORETTA MAY HAVE HAD PRIOR TO HER PASSING AND TO ACCOUNT FOR THIS TO THE SURROGATE JUDGE IN NASSAU COUNTY, NY. 7)ROCHESTER ROTARY CHARITABLE TRUST POSITION: BOARD MEMBER NATURE: TO ATTEND BOARD MEETINGS AND DISCUSS KEY BUSINESS ISSUES THAT IMPACT THE ROCHESTER ROTARY CHARITABLE TRUST DAILY OPERATIONS INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/19/2024 ADDRESS: 180 LINDEN OAKS, SUITE 200, ROCHESTER NY 14625 DESCRIPTION: AS A CHARITABLE TRUST BOARD MEMBER, I WILL JOIN THE OTHER BOARD MEMBERS REVIEWING QUARTERLY FINANCIAL REPORTS, MONTHLY INITIATIVES, ANNUAL PROGRAMS AND OTHER DISCUSSIONS THAT IMPACT THE ROCHESTER ROTARY CHARITABLE TRUST.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-06-24

Designations