CM
Carol B. Mayer
OSAIC INSTITUTIONS
Mars, PA 16046
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CRD#: 2017724
CM
Professional summary
Carol B Mayer, who also goes by Carol B Blechman, Carol Beth Blechman, Carol Beth Kwence, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Mars, Pennsylvania.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Carol has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol B Blechman | Carol Beth Blechman | Carol Beth Kwence
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.) First Commonwealth bank. Started in April 2019. Banking. Yes, investment related.
2.)First Commonwealth Bank Trust Division. Yes, investment related. Approx 8 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Carol B Mayer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol B Mayer'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 17, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6999 Crider Road, Mars, PA 16046Office #2: 1189 Freedom Road, Cranberry Twp, PA 16066Office #3: 4021 Freeport Roa, Natrona Heights, PA 15065Office #4: 11 Pine Creek Road, Wexford, PA 15090Office #5: 100 N Main Street, Butler, PA 16001Office #6: 5167 William Flynn Highway, Gibsonia, PA 15044Office #7: 125 West Main Street, Saxonburg, PA 16056Office #8: 4200 Park Avenue, Ashtabula, OH 44004Office #9: 27 East Washington Street, New Castle, PA 16101Office #10: 12499 Perry Highway, Wexford, PA 15090Office #11: 744 Little Deer Creek Valley Road, Russellton, PA 15076Office #12: 2724 Harts Run Road, Allison Park, PA 15101RIA
BD
CRD#: 35371
Mars, PA
Current
April 17, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6999 Crider Road, Mars, PA 16046Office #2: 1189 Freedom Road, Cranberry Twp, PA 16066Office #3: 4021 Freeport Roa, Natrona Heights, PA 15065Office #4: 11 Pine Creek Road, Wexford, PA 15090Office #5: 100 N Main Street, Butler, PA 16001Office #6: 5167 William Flynn Highway, Gibsonia, PA 15044Office #7: 125 West Main Street, Saxonburg, PA 16056Office #8: 4200 Park Avenue, Ashtabula, OH 44004Office #9: 27 East Washington Street, New Castle, PA 16101Office #10: 12499 Perry Highway, Wexford, PA 15090Office #11: 744 Little Deer Creek Valley Road, Russellton, PA 15076Office #12: 2724 Harts Run Road, Allison Park, PA 15101RIA
BD
CRD#: 35371
Mars, PA
Past
September 21, 2016 - April 12, 2019
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
PITTSBURGH, PA
Past
September 21, 2016 - April 12, 2019
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
PITTSBURGH, PA
Past
May 26, 2016 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
SEWICKLEY, PA
Past
September 4, 2013 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
SEWICKLEY, PA
Past
December 22, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
December 22, 1989 - November 15, 2001
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
Maryland(8/11/2025)
RR
New Jersey(3/26/2021)
RR
Ohio(6/30/2020)
RR
Pennsylvania(4/17/2019)
IAR
Pennsylvania(4/17/2019)
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.
