CM
Claudio M. Mastroianni
OSAIC INSTITUTIONS
Albany, NY 12205
Some features on this profile are disabled
CRD#: 1811177
CM
Professional summary
Claudio Mario Mastroianni, CFP®, who also goes by Claudio Mario Mastroianni Sr, Claudio Mario (sr) Mastroianni, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Albany, New York.
Claudio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Claudio has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Claudio Mario Mastroianni Sr | Claudio Mario (sr) Mastroianni
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.) Rental Property; 2 hours a month; since 1988
CRS (Client Relationship Summary) - RIA
Click below to view Claudio Mario Mastroianni's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Claudio Mario Mastroianni'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®
CFP®
Start date: 2004
Experience
Current
July 26, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 103 Wolf Road, Albany, NY 12205Office #2: 602 Columbia Turnpike, East Greenbush, NY 12061RIA
BD
CRD#: 35371
Albany, NY
Current
July 26, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 103 Wolf Road, Albany, NY 12205Office #2: 602 Columbia Turnpike, East Greenbush, NY 12061RIA
BD
CRD#: 35371
Albany, NY
Past
February 22, 2016 - July 16, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
SLINGERLANDS, NY
Past
February 22, 2016 - July 16, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SLINGERLANDS, NY
Past
October 23, 2015 - March 7, 2016
M&T SECURITIES, INC.
RIA
CRD#: 17358
ALBANY, NY
Past
October 23, 2015 - March 7, 2016
M&T SECURITIES, INC.
BD
CRD#: 17358
ALBANY, NY
Past
September 28, 2015 - October 29, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LATHAM, NY
Past
May 6, 2011 - September 29, 2015
M&T SECURITIES, INC.
RIA
CRD#: 17358
ALBANY, NY
Past
May 6, 2011 - September 29, 2015
M&T SECURITIES, INC.
BD
CRD#: 17358
ALBANY, NY
Past
April 4, 2011 - May 2, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
LATHAM, NY
Past
April 4, 2011 - May 2, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
LATHAM, NY
Past
October 1, 2009 - March 28, 2011
M&T SECURITIES, INC.
RIA
CRD#: 17358
GUILDERLAND, NY
Past
September 30, 2009 - March 28, 2011
M&T SECURITIES, INC.
BD
CRD#: 17358
GUILDERLAND, NY
Past
October 14, 2008 - September 22, 2009
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
NISKAYUNA, NY
Past
September 18, 2006 - August 14, 2008
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
ALBANY, NY
Past
September 18, 2006 - August 14, 2008
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ALBANY, NY
Past
November 16, 2005 - September 15, 2006
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
ALBANY, NY
Past
April 18, 2002 - June 15, 2005
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
April 3, 1998 - April 19, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
March 30, 1988 - January 10, 1997
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 30, 1988 - January 10, 1997
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Connecticut(11/28/2022)
RR
Florida(7/26/2021)
RR
New York(7/26/2021)
IAR
New York(7/26/2021)
RR
South Carolina(1/2/2024)
RR
Vermont(7/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
