Daniel J. Hopkins
OSAIC INSTITUTIONS | Financial Advisor
West Orange, NJ 07052
Some features on this profile are disabled
CRD#: 1286618
Professional summary
Daniel John Hopkins, who also goes by Dan J Hopkins, Dan Hopkins, Don Hopkins, Dan Hopkins, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in West Orange, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Daniel has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Family Finances
Retirement Income Strategies
Investment Management
Are you a "fiduciary"?
Yes
Aliases
Dan J Hopkins | Dan Hopkins | Don Hopkins | Dan Hopkins
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 Daniel John Hopkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel John Hopkins'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
July 25, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 300 Executive Dr Suite 350, West Orange, NJ 07052Office #2: 4706 Rushmore Dr, Syracuse, NY 13215RIA
BD
CRD#: 35371
West Orange, NJ
Current
July 25, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 300 Executive Dr Suite 350, West Orange, NJ 07052RIA
BD
CRD#: 35371
West Orange, NJ
Past
October 27, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Solvay, NY
Past
June 17, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Solvay, NY
Past
November 1, 1996 - June 19, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
NEW HARTFORD, NY
Past
March 7, 1996 - October 31, 1996
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
March 17, 1988 - September 5, 1995
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
September 18, 1986 - February 18, 1988
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
April 25, 1986 - October 13, 1986
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
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
California(7/25/2025)
RR
Connecticut(7/25/2025)
RR
Florida(7/25/2025)
RR
Georgia(7/25/2025)
RR
Maryland(7/25/2025)
RR
Massachusetts(7/25/2025)
RR
New Jersey(7/25/2025)
RR
New York(7/25/2025)
IAR
New York(7/25/2025)
RR
North Carolina(7/25/2025)
RR
Ohio(7/25/2025)
RR
Pennsylvania(7/25/2025)
RR
Rhode Island(7/25/2025)
RR
Virginia(7/25/2025)
Exams
State Security Law Exam
State Security Law 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 | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
Financial AdvisorCRD#: 35371West Orange, NJ 07052TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
