JM
John W. Manzella
OSAIC INSTITUTIONS
Oxford, MI 48371
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CRD#: 1412352
JM
Professional summary
John William Manzella is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Oxford, Michigan.
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 66, Series 63, SIE, Series 7 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.
1.) Oxford Bank. Banking. yes, investment related. Approx 2 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view John William Manzella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John William Manzella'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 30, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 60 South Washington Street, Oxford, MI 48371Office #2: 5459 Main Street, Dryden, MI 48428Office #3: 1115 S. Lapeer Road, Lake Orion, MI 48361Office #4: 345 Ortonville Road, Ortonville, MI 48462Office #5: 35 Rochester Road, Oakland, MI 48363Office #6: 7199 N. Main Street, Clarkston, MI 48346Office #7: 600 N. State Road, Davidson, MI 48423Office #8: 5454 Gateway Centre Suite B, Flint, MI 48507RIA
BD
CRD#: 35371
Oxford, MI
Current
May 30, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 60 South Washington Street, Oxford, MI 48371Office #2: 5459 Main Street, Dryden, MI 48428Office #3: 1115 S. Lapeer Road, Lake Orion, MI 48361Office #4: 345 Ortonville Road, Ortonville, MI 48462Office #5: 35 Rochester Road, Oakland, MI 48363Office #6: 7199 N. Main Street, Clarkston, MI 48346Office #7: 600 N. State Road, Davidson, MI 48423Office #8: 5454 Gateway Centre Suite B, Flint, MI 48507RIA
BD
CRD#: 35371
Oxford, MI
Past
September 9, 2011 - June 2, 2017
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
METAMORA, MI
Past
September 9, 2011 - June 2, 2017
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
METAMORA, MI
Past
November 23, 2010 - September 23, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLARKSTON, MI
Past
December 1, 2003 - September 23, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
CLARKSTON, MI
Past
July 17, 2002 - December 3, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
July 13, 2001 - June 26, 2002
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
November 29, 1985 - December 31, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
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
Arizona(4/13/2018)
RR
Florida(11/2/2017)
RR
Indiana(5/30/2017)
RR
Michigan(5/30/2017)
IAR
Michigan(5/30/2017)
RR
Missouri(7/15/2020)
RR
Nevada(4/26/2023)
RR
North Carolina(5/30/2017)
RR
Tennessee(4/6/2023)
RR
Virginia(8/7/2018)
RR
Washington(7/9/2019)
RR
Wisconsin(12/19/2018)
Exams
State Security Law Exam
State Security Law 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 | 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#: 35371Oxford, MI 48371TRUST BUT VERIFY
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