Michael J. Arena

OSAIC WEALTH

Williamsville, NY 14221

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CRD#: 1929230

Professional summary

Michael John Arena is a registered financial advisor currently at OSAIC WEALTH, INC. located in Williamsville, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) MICHAEL ARENA, YES, 5110 MAIN ST. WILLIAMSVILLE, NY 14221, OWNER, 7/1989, 2 HRS/MO, ZERO HRS DT, INSURANCE SALES. 2) ANERA INC., NO, 5110 MAIN ST. WILLIAMSVILLE, NY 14221, OWNER, 10/1/2010, 10 HRS/MO, 10 HRS DT, PROVIDE BUSINESS CONSULTING SERVICES TO INCLUDE BUT NOT LIMITED TO REVIEW OF A COMPANIES' DAY TO DAY ACTIVITIES, PROFIT AND LOSS STATEMENTS AND OVERALL BUSINESS ACTIVITIES. 3) JEANETTE ARENA TRUST POSITION: TRUST NATURE: TRUSTEE FOR FAMILY TRUST (MOTHER) INVESTMENT RELATED: YES NUMBER OF HOURS: 2 INVESTMENT RELATED HOURS: 2 START DATE: 02/12/2015 ADDRESS: 39 SABLE RUN, EAST AMHERST NY 14051 DESCRIPTION: TRUSTEE FOR TRUST 4) 1377 EGGERT ROAD LLC POSITION: Partner NATURE: LLC Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/25/2021 ADDRESS: 39 Sable Run, East Amherst NY 14051, United States DESCRIPTION: Partner in LLC that owns a two family home. Duties limited to paying associated monthly costs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Arena's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael John Arena's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5110 Main Street Suite 214, Williamsville, NY 14221

RIA

CRD#: 23131

Williamsville, NY

Current

September 1, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 5110 Main Street Suite 214, Williamsville, NY 14221

RIA

CRD#: 23131

Williamsville, NY

Past

July 9, 2014 - September 1, 2023

OSAIC SERVICES, INC.

RIA

CRD#: 133763

WILLIAMSVILLE, NY

Past

October 31, 2005 - September 1, 2023

OSAIC SERVICES, INC.

CRD#: 133763

WILLIAMSVILLE, NY

Past

March 31, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 14, 1996 - April 5, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 6, 1996 - May 17, 1996

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

November 23, 1993 - March 7, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 19, 1989 - November 23, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 19, 1989 - November 23, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, 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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(9/1/2023)

Arkansas
(9/1/2023)

California
(9/1/2023)

IAR

California
(9/1/2023)

Connecticut
(8/18/2025)

District of Columbia
(9/1/2023)

Florida
(9/1/2023)

IAR

Florida
(6/4/2024)

Georgia
(9/5/2025)

Hawaii
(9/1/2023)

Illinois
(9/1/2023)

Kentucky
(9/1/2023)

Louisiana
(9/1/2023)

Maryland
(9/1/2023)

Massachusetts
(9/1/2023)

Michigan
(9/1/2023)

New Jersey
(9/1/2023)

New York
(9/1/2023)

IAR

New York
(9/1/2023)

North Carolina
(9/1/2023)

Ohio
(9/1/2023)

Oregon
(9/1/2023)

Pennsylvania
(9/1/2023)

South Carolina
(9/1/2023)

Tennessee
(9/1/2023)

Utah
(9/1/2023)

Vermont
(8/25/2025)

Virginia
(9/1/2023)

Washington
(9/1/2023)

Wisconsin
(9/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/13/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

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	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Michael J. Arena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Arena's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael John Arena's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

LPL FINANCIAL LLC

M&T SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/13/1994

Series 63

Date: 5/3/1989

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1989

Series 24

Date: 10/8/1999

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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