Terrence M. Tormey
Professional summary
Terrence Murphy Tormey, who also goes by Terry Tormey, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Syracuse, New York.
Terrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Terrence has worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Terrence Murphy Tormey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Terrence Murphy Tormey's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 4242 Wolf Hollow Rd., Syracuse, NY 13219September 1, 2023 - Present
OSAIC WEALTH, INC.
Office #1: 4242 Wolf Hollow Rd., Syracuse, NY 13219August 24, 2018 - September 1, 2023
OSAIC SERVICES, INC.
April 6, 2018 - September 1, 2023
OSAIC SERVICES, INC.
November 29, 2017 - April 11, 2018
LPL FINANCIAL LLC
February 3, 2016 - November 29, 2017
NATIONAL PLANNING CORPORATION
September 25, 2013 - February 2, 2016
CADARET, GRANT & CO., INC.
September 25, 2003 - September 19, 2013
PARK AVENUE SECURITIES LLC
July 3, 2001 - June 3, 2003
CITIGROUP GLOBAL MARKETS INC.
June 30, 1999 - May 3, 2001
PARK AVENUE SECURITIES LLC
January 14, 1999 - December 31, 1999
USI SECURITIES, INC.
October 19, 1998 - December 31, 1998
COMMONWEALTH FINANCIAL NETWORK
July 8, 1991 - December 4, 1997
GUARDIAN INVESTOR SERVICES LLC
December 15, 1987 - March 27, 1991
ROBERT W. BAIRD & CO. INCORPORATED
December 4, 1986 - March 27, 1991
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(1/13/2025)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
(10/23/2023)
(9/1/2023)
(9/1/2023)
(9/1/2023)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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 WEALTH, INC.
CRD#: 23131Syracuse, NY 13219TRUST BUT VERIFY
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