JF
John S. Freeman
OSAIC INSTITUTIONS
Overland Park, KS 66212
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CRD#: 1360164
JF
Professional summary
John Stewart Freeman is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Overland Park, Kansas.
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 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.
1) FREEMAN FINANCIAL CONCEPTS:INVESTMENT RELATED:8/2010-PRESENT:OVERLAND PARK, KS:ADVISOR:S-CORP.:1 HR/WK:0 HRS DURING TRADING:S-CORP. FOR TAX PURPOSES.
2) VIRTUE FINANCIAL ADVISORS, LLC.: INVESTMENT RELATED 10/2018, KANSAS CITY, KS, 5 HRS/WK: 3 HRS DURING TRADING. INSURANCE AGENT.
CRS (Client Relationship Summary) - RIA
Click below to view John Stewart Freeman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Stewart Freeman'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
October 4, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8100 W. 151st Street, Overland Park, KS 66212RIA
BD
CRD#: 35371
Overland Park, KS
Current
October 4, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8100 W. 151st Street, Overland Park, KS 66212RIA
BD
CRD#: 35371
Overland Park, KS
Past
January 2, 2009 - September 14, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
OVERLAND PARK, KS
Past
October 18, 2007 - November 1, 2018
KEATING FINANCIAL ADVISORY SERVICES
RIA
CRD#: 142772
OVERLAND PARK, KS
Past
May 20, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
OVERLAND PARK, KS
Past
May 17, 2005 - September 14, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
OVERLAND PARK, KS
Past
July 9, 2002 - May 17, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
PAOLA, KS
Past
May 9, 2002 - May 17, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 4, 1999 - May 9, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 3, 1989 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
April 26, 1985 - January 7, 1989
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Alabama(10/5/2018)
RR
Arkansas(10/4/2018)
RR
Connecticut(10/4/2018)
RR
Florida(10/4/2018)
RR
Illinois(10/4/2018)
RR
Kansas(10/4/2018)
IAR
Kansas(10/4/2018)
RR
Kentucky(10/4/2018)
RR
Louisiana(10/4/2018)
RR
Minnesota(11/2/2018)
RR
Missouri(10/4/2018)
RR
Nebraska(10/4/2018)
RR
New Jersey(2/5/2021)
RR
New York(10/4/2018)
RR
South Carolina(1/2/2025)
RR
Texas(10/4/2018)
RR
Wisconsin(10/4/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
CRD#: 35371Overland Park, KS 66212TRUST BUT VERIFY
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