PL
Peter Levine
OSAIC INSTITUTIONS
Brooklyn, NY 11230
Some features on this profile are disabled
CRD#: 1500411
PL
Professional summary
Peter Levine, who also goes by Peter A Levine, Peter Levine, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Brooklyn, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Peter has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter A Levine | Peter Levine
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.
Entity Name: Planit New York Staffing Investment related: No Address: 108-21 Corona 51st ave. Corona N.Y. 11368 Nature of the other business: Restaurant Position/Title/Relationship: Employee/Contractor Start Date: 05/14/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: This is a staffing company that hires waiters and bartenders for events. I will be working as a waiter and bartender. ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: FDM ASSOCIATES INC DBA SPAR FIELD SERVICES INC. POSITION: MERCHANDISER START DATE: 3/1/2011 ADDRESS: 81 Red Bank N.J. DETAILS: MERCHANDISING SUPERMARKETS AND DRUGSTORES. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 8 HOURS DURING TRADING: 0
CRS (Client Relationship Summary) - RIA
Click below to view Peter Levine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Levine'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
September 22, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1617 Avenue M, Brooklyn, NY 11230Office #2: 7415 Fifth Avenue, Bay Ridge, NY 11209Office #3: 1954 Flatbush Avenue, Brooklyn, NY 11234Office #4: 140 East Kennedy Boulevard, Lakewood, NJ 08701Office #5: 2626 Hylan Boulevard, Suite 2, Staten Island, NY 10306RIA
BD
CRD#: 35371
Brooklyn, NY
Current
September 22, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1617 Avenue M, Brooklyn, NY 11230Office #2: 7415 Fifth Avenue, Bay Ridge, NY 11209Office #3: 1954 Flatbush Avenue, Brooklyn, NY 11234Office #4: 140 East Kennedy Boulevard, Lakewood, NJ 08701Office #5: 2626 Hylan Boulevard, Suite 2, Staten Island, NY 10306RIA
BD
CRD#: 35371
Brooklyn, NY
Past
January 24, 2020 - September 18, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BROOKLYN, NY
Past
January 23, 2020 - September 18, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
Past
November 14, 2016 - November 4, 2019
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
MASSAPEQUA, NY
Past
November 14, 2016 - November 4, 2019
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
MASSAPEQUA, NY
Past
March 6, 2015 - October 4, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FOREST HILLS, NY
Past
March 2, 2015 - October 4, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
Forest Hills, NY
Past
February 26, 2015 - October 4, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
Forest Hills, NY
Past
September 11, 2012 - February 3, 2015
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
BRONX, NY
Past
April 24, 2012 - February 3, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
BRONX, NY
Past
July 11, 2011 - April 10, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
STATEN ISLAND, NY
Past
September 5, 2001 - July 12, 2011
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
BROOKLYN, NY
Past
June 19, 2000 - September 18, 2001
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
August 7, 1996 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
September 19, 1995 - August 14, 1996
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
August 18, 1986 - April 22, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 18, 1986 - April 22, 1994
SIGNATOR INVESTORS, INC.
BD
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".
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
New Jersey(5/28/2025)
IAR
New Jersey(5/29/2025)
RR
New York(9/22/2022)
IAR
New York(9/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
