RV
Robert E. Velardi
OSAIC INSTITUTIONS
Hamden, CT 06518
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CRD#: 1522796
RV
Professional summary
Robert Ernest Velardi is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hamden, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Ernest Velardi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Ernest Velardi'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
December 18, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2989 Whitney Ave, Hamden, CT 06518RIA
BD
CRD#: 35371
Hamden, CT
Current
December 18, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2989 Whitney Ave, Hamden, CT 06518RIA
BD
CRD#: 35371
Hamden, CT
Past
April 6, 2010 - December 26, 2013
OSAIC FA, INC.
RIA
CRD#: 3978
NORTH HAVEN, CT
Past
April 6, 2010 - December 26, 2013
OSAIC FA, INC.
BD
CRD#: 3978
NORTH HAVEN, CT
Past
November 17, 2009 - March 5, 2010
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
NORTH HAVEN, CT
Past
November 17, 2009 - March 5, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
NORTH HAVEN, CT
Past
May 30, 2007 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
NORTH HAVEN, CT
Past
May 2, 2006 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
HAMDEN, CT
Past
October 4, 2005 - May 4, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 2, 2000 - February 16, 2005
WEBSTER INVESTMENT SERVICES, INC.
BD
CRD#: 46588
KENSINGTON, CT
Past
November 4, 1998 - July 17, 2000
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 2, 1997 - October 20, 1998
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
April 8, 1996 - December 31, 1996
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
March 13, 1990 - June 14, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 13, 1990 - June 14, 1996
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
February 17, 1987 - December 31, 1989
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
IAR
Connecticut(12/18/2013)
RR
Connecticut(12/19/2013)
RR
Florida(12/18/2013)
RR
Massachusetts(8/10/2018)
RR
North Carolina(10/30/2020)
RR
South Carolina(4/19/2018)
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 | 9 |
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.
