MR
Michael W. Risko
OSAIC INSTITUTIONS
Hyde Park, NY 12538
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CRD#: 1975573
MR
Professional summary
Michael William Risko is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hyde Park, 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 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael William Risko's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael William Risko'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
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 4269 Albany Post Road, Hyde Park, NY 12538Office #2: 295-4 Route 375, West Hurley, NY 12491Office #3: 130 Schwenk Drive, Kingston, NY 12401Office #4: 300 Broadway, Kingston, NY 12401Office #5: 1296 Ulster Ave., Kingston, NY 12401RIA
BD
CRD#: 35371
Hyde Park, NY
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 4269 Albany Post Road, Hyde Park, NY 12538Office #2: 295-4 Route 375, West Hurley, NY 12491Office #3: 130 Schwenk Drive, Kingston, NY 12401Office #4: 300 Broadway, Kingston, NY 12401Office #5: 1296 Ulster Ave., Kingston, NY 12401RIA
BD
CRD#: 35371
Hyde Park, NY
Past
July 29, 2010 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
ELIZABETH, NJ
Past
November 4, 2009 - June 8, 2010
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
ELIZABETH, NJ
Past
November 3, 2009 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
ELIZABETH, NJ
Past
October 10, 2007 - April 8, 2009
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
NEW YORK, NY
Past
October 9, 2007 - April 8, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
JERSEY CITY, NJ
Past
April 24, 2007 - September 6, 2007
AIM PRIVATE ASSET MANAGEMENT
RIA
CRD#: 109264
HOUSTON, TX
Past
April 24, 2007 - September 6, 2007
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
March 8, 2006 - April 5, 2007
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
BD
CRD#: 119546
DENVER, CO
Past
June 7, 2002 - February 6, 2006
AIM PRIVATE ASSET MANAGEMENT
RIA
CRD#: 109264
HOUSTON, TX
Past
June 19, 1998 - February 6, 2006
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
July 31, 1997 - June 10, 1998
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 1, 1995 - October 16, 1996
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
March 1, 1995 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
BD
CRD#: 4234
SEATTLE, WA
Past
October 28, 1991 - February 21, 1995
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
September 7, 1989 - October 11, 1991
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
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(7/1/2016)
RR
Florida(2/15/2017)
RR
Michigan(5/6/2025)
IAR
Michigan(5/6/2025)
RR
New Jersey(7/1/2016)
IAR
New Jersey(7/1/2016)
RR
New York(7/1/2016)
IAR
New York(7/13/2021)
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Hyde Park, NY 12538TRUST BUT VERIFY
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