Donald E. Gross

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CRD#: 1951923

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Erwin Gross was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1989. Donald had worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 13, 2020 - June 15, 2021

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Bay Ridge, NY

Past

February 2, 2018 - July 13, 2020

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

January 8, 2015 - April 26, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

Past

February 20, 2014 - December 16, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

September 17, 2010 - September 10, 2012

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

January 9, 2008 - September 27, 2010

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

COLUMBUS, OH

Past

January 2, 2008 - January 9, 2008

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

November 7, 2007 - December 31, 2007

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

August 23, 2006 - November 5, 2007

ALTERNATIVE WEALTH STRATEGIES, INC.

CRD#: 130933

DIX HILLS, NY

Past

July 9, 2004 - April 28, 2006

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

October 4, 2002 - June 21, 2004

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

January 2, 2002 - October 4, 2002

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

January 19, 2000 - December 31, 2001

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

November 23, 1999 - January 20, 2000

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

April 7, 1999 - November 18, 1999

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

Past

January 7, 1997 - July 23, 1998

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

May 27, 1992 - February 7, 1997

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

June 5, 1991 - May 19, 1992

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

May 23, 1989 - August 2, 1990

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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 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)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 6/26/1989

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: 5/20/1989

General Securities Representative Examination

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

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

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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Advisor Monitoring

Firm Stability Insights

Donald E. Gross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TIGRESS FINANCIAL PARTNERS, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ALPS DISTRIBUTORS, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE FUND DISTRIBUTORS LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

ALTERNATIVE WEALTH STRATEGIES, INC.

INVESTORS CAPITAL CORP.

EVERLAKE DISTRIBUTORS, LLC

AFD, INC.

AFD, INC.

FORESIDE FUND SERVICES, LLC

ARK FUNDS DISTRIBUTORS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

KEY INVESTMENTS INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

EDWARD JONES

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1989

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1989

Current Firm

OSAIC INSTITUTIONS, 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

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

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