GK
Genan M. Kirby
OSAIC INSTITUTIONS
Urbandale, IA 50323
Some features on this profile are disabled
CRD#: 1597732
GK
Professional summary
Genan Marie Kirby, who also goes by Benan Marie Kirby, Genan M. Kirby, Genan Summers, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Urbandale, Iowa.
Genan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Genan has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benan Marie Kirby | Genan M. Kirby | Genan Summers
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) 05-18-2022-Indiana Members CU-NOT INVESTMENT RELATED- At Reported Business Location(s)-Financial Institution Duty-START DATE: 2018- 2) 05-18-2022-Indiana Members Investment Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-
CRS (Client Relationship Summary) - RIA
Click below to view Genan Marie Kirby's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Genan Marie Kirby'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
February 6, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2301 128th St, Urbandale, IA 50323RIA
BD
CRD#: 35371
Urbandale, IA
Current
February 4, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2301 128th St, Urbandale, IA 50323RIA
BD
CRD#: 35371
Urbandale, IA
Past
May 18, 2022 - February 20, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
CARMEL, IN
Past
May 18, 2022 - February 20, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
CARMEL, IN
Past
January 4, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Carmel, IN
Past
January 4, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Carmel, IN
Past
August 21, 2015 - December 14, 2018
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
INDIANAPOLIS, IN
Past
August 21, 2015 - December 14, 2018
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
INDIANAPOLIS, IN
Past
November 27, 2013 - June 24, 2015
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
INDIANAPOLIS, IN
Past
November 27, 2013 - June 24, 2015
CFD INVESTMENTS, INC.
BD
CRD#: 25427
INDIANAPOLIS, IN
Past
October 30, 2012 - November 29, 2013
OBS BROKERAGE SERVICES, INC.
BD
CRD#: 104281
INDIANAPOLIS, IN
Past
May 20, 2011 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
INDIANAPOLIS, IN
Past
May 19, 2011 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
INDIANAPOLIS, IN
Past
January 2, 2009 - December 31, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
INDIANAPOLIS, IN
Past
November 6, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
INDIANAPOLIS, IN
Past
November 3, 2008 - December 31, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
INDIANAPOLIS, IN
Past
March 14, 2006 - September 29, 2008
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
INDIANAPOLIS, IN
Past
July 25, 2005 - September 29, 2008
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
INDIANAPOLIS, IN
Past
July 16, 2003 - July 28, 2005
FIRST NATIONAL INVESTMENTS, INC.
BD
CRD#: 25865
KOKOMO, IN
Past
January 2, 2002 - September 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
August 2, 1999 - July 9, 2003
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
INDIANAPOLIS, IN
Past
January 15, 1992 - July 9, 2003
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 31, 1989 - January 24, 1992
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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(2/11/2025)
RR
Florida(2/4/2025)
RR
Indiana(2/4/2025)
RR
Iowa(2/4/2025)
IAR
Iowa(2/6/2025)
RR
Nebraska(7/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Urbandale, IA 50323TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
