PK
Peter J. Klarides
OSAIC INSTITUTIONS
New York, NY 10019
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CRD#: 1636337
PK
Professional summary
Peter James Klarides, who also goes by Peter Klaides, Peter J. Klarides, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New York, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Peter has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Klaides | Peter J. Klarides
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 Peter James Klarides's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter James Klarides'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
November 4, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11 W. 51st Street, New York, NY 10019Office #2: 71-24 Austin Street, Forest Hills, NY 11375Office #3: 285 Madison Avenue, New York, NY 10017Office #4: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Current
October 5, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11 W. 51st Street, New York, NY 10019Office #2: 71-24 Austin Street, Forest Hills, NY 11375Office #3: 285 Madison Avenue, New York, NY 10017Office #4: 85 Broad Street 10th Floo, New York, NY 10004RIA
BD
CRD#: 35371
New York, NY
Past
October 2, 2007 - October 19, 2020
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
January 1, 2005 - October 19, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
July 13, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
March 21, 1996 - July 5, 2001
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
October 12, 1994 - February 29, 1996
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
November 29, 1993 - October 4, 1994
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
April 20, 1993 - November 5, 1993
DIME SECURITIES, INC.
BD
CRD#: 28955
BROOKLYN, NY
Past
May 24, 1991 - April 8, 1993
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
February 7, 1991 - April 22, 1991
H. STARR FINANCIAL CORP.
BD
CRD#: 16631
Past
September 18, 1990 - December 14, 1990
ROBERT TODD FINANCIAL CORP.
BD
CRD#: 7423
NEW YORK, NY
Past
March 20, 1990 - August 23, 1990
BAIRD, PATRICK & CO., INC.
BD
CRD#: 1149
FAIRFIELD, NJ
Past
December 22, 1989 - March 22, 1990
SOUTH RICHMOND SECURITIES, INC.
BD
CRD#: 14913
Past
November 21, 1989 - December 13, 1989
V P SECURITIES, INC.
BD
CRD#: 16615
Past
November 16, 1989 - December 8, 1989
DONALD & CO. SECURITIES INC.
BD
CRD#: 7776
TINTON FALLS, NJ
Past
March 8, 1989 - November 20, 1989
WILLIAM M. CADDEN & CO., INC.
BD
CRD#: 16363
Past
March 2, 1987 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
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
Arizona(3/19/2024)
RR
California(8/3/2021)
RR
Connecticut(10/5/2020)
RR
Florida(10/5/2020)
RR
Illinois(8/31/2022)
RR
Maryland(12/20/2022)
RR
New Jersey(10/5/2020)
IAR
New Jersey(11/4/2020)
RR
New York(10/5/2020)
IAR
New York(7/13/2021)
RR
North Carolina(7/6/2022)
RR
Pennsylvania(1/24/2023)
RR
Puerto Rico(9/27/2022)
RR
South Carolina(9/21/2022)
RR
Texas(1/9/2025)
IAR
Texas(1/9/2025)
RR
Vermont(12/8/2025)
RR
Washington(6/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
