DC
Danova G. Chow
OSAIC INSTITUTIONS
Brea, CA 92821
Some features on this profile are disabled
CRD#: 1983698
DC
Professional summary
Danova Gary Chow, who also goes by Gary Danova Chow, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Brea, California.
Danova is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Danova has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary Danova Chow
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 Danova Gary Chow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Danova Gary Chow'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
April 14, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 135 S State College Blvd. Suite 200, Brea, CA 92821RIA
BD
CRD#: 35371
Brea, CA
Current
April 14, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 135 S State College Blvd. Suite 200, Brea, CA 92821RIA
BD
CRD#: 35371
Brea, CA
Past
January 16, 2023 - April 14, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
LA HABRA, CA
Past
January 13, 2023 - April 14, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
LA HABRA, CA
Past
July 23, 2018 - February 6, 2023
WESCOM FINANCIAL SERVICES
RIA
CRD#: 125650
Anaheim, CA
Past
May 12, 2015 - July 13, 2018
WESCOM FINANCIAL SERVICES
RIA
CRD#: 125650
Anaheim, CA
Past
August 31, 2004 - February 6, 2023
WESCOM FINANCIAL SERVICES
BD
CRD#: 125650
Anaheim, CA
Past
November 4, 2002 - September 1, 2004
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN DIEGO, CA
Past
May 1, 2000 - November 11, 2002
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 5, 1998 - May 3, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
January 31, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
November 5, 1992 - January 31, 1996
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
October 10, 1990 - November 11, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
October 10, 1990 - November 11, 1992
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
Arizona(4/14/2023)
RR
California(4/14/2023)
IAR
California(4/14/2023)
RR
Colorado(4/14/2023)
RR
Florida(6/14/2023)
RR
Idaho(4/14/2023)
RR
Louisiana(4/14/2023)
RR
Nevada(4/14/2023)
RR
New Jersey(4/14/2023)
RR
South Carolina(4/14/2023)
RR
Texas(4/14/2023)
IAR
Texas(10/8/2025)
RR
Utah(4/14/2023)
RR
Washington(4/17/2023)
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.
