AW
Adam J. Wass
OSAIC INSTITUTIONS
Westminster, CA 92683
Some features on this profile are disabled
CRD#: 1586317
AW
Professional summary
Adam Joseph Wass, who also goes by Adam Wass, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Westminster, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Wass
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) AmeriEstate - Investment Related - At Reported Business Location(s) - Prepaid Legal and Trust Services- Started 01/05/2009 - 3 Hours Per Month/0 Hours During Securities Trading. Referral of clients for Trust Services
CRS (Client Relationship Summary) - RIA
Click below to view Adam Joseph Wass's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Joseph Wass'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 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 16348 Beach Blvd, Westminster, CA 92683RIA
BD
CRD#: 35371
Westminster, CA
Current
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 16348 Beach Blvd, Westminster, CA 92683RIA
BD
CRD#: 35371
Westminster, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTMINSTER, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTMINSTER, CA
Past
March 27, 2002 - June 20, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
HUNTINGTON BEACH, CA
Past
February 14, 2002 - June 20, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
HUNTINGTON BEACH, CA
Past
February 13, 1998 - February 13, 2002
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
September 26, 1997 - April 6, 1998
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
June 2, 1997 - February 13, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
June 24, 1993 - May 23, 1997
GLENFED BROKERAGE SERVICES
BD
CRD#: 13648
GLENDALE, CA
Past
August 3, 1992 - August 19, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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
Alabama(5/18/2022)
RR
Arizona(5/4/2022)
RR
Arkansas(5/4/2022)
RR
California(5/4/2022)
IAR
California(5/4/2022)
RR
Colorado(5/5/2022)
RR
Florida(5/4/2022)
RR
Idaho(5/4/2022)
RR
Illinois(5/6/2022)
RR
Iowa(5/4/2022)
RR
Maryland(5/4/2022)
RR
Minnesota(5/19/2022)
RR
Missouri(5/4/2022)
RR
Nebraska(5/4/2022)
RR
Nevada(5/4/2022)
RR
New Jersey(5/4/2022)
RR
New Mexico(5/4/2022)
RR
New York(5/4/2022)
RR
Oklahoma(5/4/2022)
RR
South Carolina(5/4/2022)
RR
Texas(5/4/2022)
IAR
Texas(5/4/2022)
RR
Utah(5/4/2022)
RR
Virginia(5/4/2022)
RR
Washington(5/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
