JS
John C. Salvaggio
OSAIC INSTITUTIONS
Boston, MA
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CRD#: 1009803
JS
Professional summary
John Charles Salvaggio is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Boston, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. John has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Charles Salvaggio's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Charles Salvaggio's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 2, 2011 - Present
OSAIC INSTITUTIONS, INC.
RIA
BD
CRD#: 35371
Boston, MA
Current
April 14, 2011 - Present
OSAIC INSTITUTIONS, INC.
RIA
BD
CRD#: 35371
Boston, MA
Past
December 6, 2010 - April 6, 2011
MARBLEHEAD CAPITAL, LLC
RIA
CRD#: 155273
BEVERLY, MA
Past
August 3, 2007 - October 22, 2009
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
BRIGHTON, MA
Past
August 1, 2007 - October 22, 2009
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
BRIGHTON, MA
Past
November 28, 2006 - July 18, 2007
FIRST DUNBAR SECURITIES CORPORATION
BD
CRD#: 17901
EAST BERLIN, CT
Past
July 7, 2004 - November 8, 2006
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
TOPSFIELD, MA
Past
October 23, 1998 - June 14, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
LYNNFIELD, MA
Past
August 25, 1998 - November 8, 2006
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
TOPSFIELD, MA
Past
June 27, 1994 - August 19, 1998
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 8, 1990 - July 5, 1994
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
August 16, 1989 - August 20, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
January 7, 1988 - May 13, 1988
WINTHROP SECURITIES CO., INC.
BD
CRD#: 6925
Past
April 23, 1986 - January 20, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
March 15, 1985 - December 12, 1985
UR FINANCIAL, INC.
BD
CRD#: 10509
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(4/20/2011)
IAR
Massachusetts(5/2/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
