Jeffrey B. Schneider

OSAIC INSTITUTIONS

Bay Ridge, NY 11209

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CRD#: 1524223

Professional summary

Jeffrey Bruce Schneider is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bay Ridge, New York.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Jeffrey has worked at 21 firms and has passed the 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Bruce Schneider's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Bruce Schneider's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 6, 2021 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 7415 Fifth Avenue, Bay Ridge, NY 11209Office #2: 592 West 207th Street, New York, NY 10034

RIA

CRD#: 35371

Bay Ridge, NY

Current

December 6, 2021 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 7415 Fifth Avenue, Bay Ridge, NY 11209Office #2: 592 West 207th Street, New York, NY 10034

RIA

CRD#: 35371

Bay Ridge, NY

Past

May 21, 2021 - December 6, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Brooklyn, NY

Past

August 13, 2018 - December 6, 2021

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

BROOKLYN, NY

Past

July 5, 2016 - April 25, 2018

OSAIC INSTITUTIONS, INC.

CRD#: 35371

FLUSHING, NY

Past

January 12, 2015 - July 7, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

LONG ISLAND CITY, NY

Past

October 14, 2013 - December 22, 2014

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NEW YORK, NY

Past

April 27, 2012 - October 24, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BROOKLYN, NY

Past

August 28, 2008 - April 26, 2012

LPL FINANCIAL LLC

CRD#: 6413

STATEN ISLAND, NY

Past

June 5, 2008 - September 2, 2008

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NEW YORK, NY

Past

May 27, 2008 - June 9, 2008

LPL FINANCIAL LLC

CRD#: 6413

NEW YORK, NY

Past

January 26, 2007 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

NEW YORK, NY

Past

June 21, 2006 - January 19, 2007

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

ROSLYN, NY

Past

October 5, 2005 - June 21, 2006

PFIC SECURITIES CORPORATION

CRD#: 34941

ROSLYN, NY

Past

April 30, 2004 - October 5, 2005

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

October 24, 2002 - April 12, 2004

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

July 3, 1996 - September 26, 2002

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

March 2, 1995 - May 6, 1996

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

March 11, 1994 - March 10, 1995

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 2, 1993 - February 22, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

October 17, 1990 - May 24, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

June 1, 1989 - October 12, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 21, 1988 - June 12, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 12, 1988 - February 7, 1989

OPPENHEIMER & CO. INC.

CRD#: 249

Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

January 29, 1988 - April 1, 1988

OPPENHEIMER & CO. INC.

CRD#: 249

Past

December 22, 1987 - January 29, 1988

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

Past

October 12, 1987 - September 26, 1988

SANDHURST SECURITIES LTD.

CRD#: 13831

Past

August 10, 1987 - August 18, 1987

JP MICHAEL CO.

CRD#: 15119

Past

June 24, 1986 - August 8, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Connecticut
(12/6/2021)

Florida
(12/6/2021)

Georgia
(12/6/2021)

New Jersey
(12/6/2021)

New York
(12/6/2021)

IAR

New York
(12/6/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

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

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey B. Schneider

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Bruce Schneider's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Bruce Schneider's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

SANTANDER SECURITIES LLC

ESSEX NATIONAL SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

LPL FINANCIAL LLC

ESSEX NATIONAL SECURITIES, LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

ESSEX NATIONAL SECURITIES, LLC

PFIC SECURITIES CORPORATION

FISERV INVESTOR SERVICES, INC.

PFIC SECURITIES CORPORATION

ESSEX NATIONAL SECURITIES, LLC

CHEMICAL INVESTMENT SERVICES CORP.

GLEACHER & COMPANY SECURITIES, INC.

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

OPPENHEIMER & CO. INC.

FAHNESTOCK INTERNATIONAL INC.

OPPENHEIMER & CO. INC.

KUHNS BROTHERS & LAIDLAW, INC.

SANDHURST SECURITIES LTD.

JP MICHAEL CO.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/25/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

Series 6

Date: 6/23/1986

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

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