Joseph S. Marino

OSAIC WEALTH

North Haven, CT 06473

Some features on this profile are disabled

CRD#: 1094341

Professional summary

Joseph Santo Marino, who also goes by Joseph S Marino, is a registered financial advisor currently at OSAIC WEALTH, INC. located in North Haven, Connecticut.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph S Marino

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.

INDEPENDENT INSURANCE AGENT -YES;3308 DIXWELL AVENUE NORTH HAVEN CT 06473-1724;SALES OF FIXED INSURANCE;INDEPENDENT INSURANCE AGENT; 3/26/1994;160;160;SALES OF FIXED INSURANCE PRODUCTS 3308 DIXWELL REALTY, LLC POSITION: Manage Property NATURE: Manage Property I own that my Business is located at. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2014 ADDRESS: 3308 Dixwell Ave, North Haven CT 06473 DESCRIPTION: Manage Building of Office location. JOSEPH MARINO TAX PREPARATION POSITION: Tax Preparer NATURE: Basic Tax Preparation for a select number of clients. Totaling approximately 30 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/27/2007 ADDRESS: 3308 Dixwell Ave, North Haven CT 06473 DESCRIPTION: prepare approx 30 basic tax returns for a few clients SECURITIES AMERICA ADVISORS POSITION: Advisor NATURE: Financial Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 11/06/2020 ADDRESS: 12325 Port Grace Blvd, La Vista NE 68128 DESCRIPTION: Provide Advisory services to Clients SUCCESS EDUCATION CONSULTANTS, LLC POSITION: Instructor NATURE: Financial Seminars (haven't done them years and don't have any immediate plans on doing any others) INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 3308 Dixwell Ave, North Haven CT 06473 DESCRIPTION: Seminars related to generic investment education DBA - Success Education Consultants, LLC MARGEN, LLC DBA SUCCESS EDUCATION CONSULTANTS POSITION: Managing Member NATURE: Financial Planning Seminars and Workshops INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/13/2023 ADDRESS: 3308 Dixwell Ave, 3308 Dixwell Avenue, North Haven CT 06473 DESCRIPTION: Providing Compliance Approved Seminars and Workshops

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Santo Marino's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Santo Marino's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 3308 Dixwell Ave, North Haven, CT 06473

RIA

CRD#: 23131

North Haven, CT

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 3308 Dixwell Ave, North Haven, CT 06473

RIA

CRD#: 23131

North Haven, CT

Past

November 6, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

NORTH HAVEN, CT

Past

November 6, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

North Haven, CT

Past

November 29, 2016 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

North Haven, CT

Past

November 17, 2016 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

North Haven, CT

Past

April 1, 1997 - November 7, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

North Haven, CT

Past

March 26, 1994 - November 7, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

North Haven, CT

Past

June 7, 1983 - January 28, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 7, 1983 - January 28, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

California
(6/14/2024)

Colorado
(6/14/2024)

Connecticut
(6/14/2024)

IAR

Connecticut
(6/14/2024)

Delaware
(6/14/2024)

Florida
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

New Hampshire
(6/14/2024)

New Jersey
(6/14/2024)

New Mexico
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Pennsylvania
(6/14/2024)

South Carolina
(6/14/2024)

Virginia
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/12/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/27/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/6/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/4/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Similar Advisors

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph S. Marino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Santo Marino's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Santo Marino's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/2001

Series 65

Date: 2/27/1997

SIE

Date: 10/1/2018

Series 6

Date: 6/6/1983

Series 26

Date: 9/4/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors