KS
Kambiz Saadat
OSAIC INSTITUTIONS
Montville, NJ 07045
Some features on this profile are disabled
CRD#: 1940728
KS
Professional summary
Kambiz Saadat, who also goes by Kevin Saadat, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Montville, New Jersey.
Kambiz is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kambiz has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Saadat
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.) ION Bank. Yes, investment related. VP, Financial Advisor. Banking. Started Sept 2022.
CRS (Client Relationship Summary) - RIA
Click below to view Kambiz Saadat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kambiz Saadat'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
September 19, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 223 Changebridge Rd, Montville, NJ 07045Office #2: 261 Comly Rd, Lincoln Park, NJ 07035Office #3: 310 Broad Ave, Leonia, NJ 07605Office #4: 76 Engle St, Englewood, NJ 07631RIA
BD
CRD#: 35371
Montville, NJ
Current
September 19, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 223 Changebridge Rd, Montville, NJ 07045Office #2: 261 Comly Rd, Lincoln Park, NJ 07035Office #3: 310 Broad Ave, Leonia, NJ 07605Office #4: 76 Engle St, Englewood, NJ 07631RIA
BD
CRD#: 35371
Montville, NJ
Past
August 17, 2022 - September 20, 2022
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
FORT LEE, NJ
Past
August 17, 2022 - September 20, 2022
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
FORT LEE, NJ
Past
December 7, 2017 - August 17, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LYNDHURT, NJ
Past
December 6, 2017 - August 17, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
CLARK, NJ
Past
September 6, 2012 - December 6, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
FORT LEE, NJ
Past
September 6, 2012 - December 6, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
FORT LEE, NJ
Past
January 14, 2009 - September 7, 2012
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
NEWARK, NJ
Past
January 14, 2009 - September 7, 2012
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
NEWARK, NJ
Past
June 4, 2008 - January 5, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
HACKETTSTOWN, NJ
Past
June 4, 2008 - January 5, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HACKETTSTOWN, NJ
Past
September 5, 2006 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
HACKETTSTOWN, NJ
Past
September 5, 2006 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
HACKETTSTOWN, NJ
Past
October 8, 1999 - September 5, 2006
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
WALLINGTON, NJ
Past
June 29, 1995 - November 3, 1999
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
January 5, 1994 - June 28, 1995
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
November 13, 1990 - December 31, 1993
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 3, 1989 - April 18, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
May 3, 1989 - April 18, 1990
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
California(9/19/2022)
RR
Colorado(9/19/2022)
RR
Connecticut(9/19/2022)
RR
Florida(9/19/2022)
RR
Georgia(9/19/2022)
RR
New Jersey(9/19/2022)
IAR
New Jersey(9/22/2022)
RR
New York(9/19/2022)
RR
North Carolina(9/19/2022)
RR
Pennsylvania(9/19/2022)
RR
South Carolina(9/19/2022)
RR
Texas(9/19/2022)
IAR
Texas(9/19/2022)
Exams
State Security Law Exam
State Security Law 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.
