RD
Ross A. Deluca
OSAIC INSTITUTIONS
Bridgewater, MA 02324
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CRD#: 2104447
RD
Professional summary
Ross Antonio Deluca, who also goes by Roosevelt Deluca, Ross A Deluca, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bridgewater, Massachusetts.
Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Ross has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roosevelt Deluca | Ross A Deluca
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 Ross Antonio Deluca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ross Antonio Deluca'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 7, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 14 Main Street, Bridgewater, MA 02324Office #2: 120 West Center Street, West Bridgewater, MA 02379RIA
BD
CRD#: 35371
Bridgewater, MA
Current
June 21, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 14 Main Street, Bridgewater, MA 02324Office #2: 120 West Center Street, West Bridgewater, MA 02379RIA
BD
CRD#: 35371
Bridgewater, MA
Past
March 31, 2021 - July 7, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
March 22, 2021 - July 7, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
January 30, 2017 - March 30, 2021
USADVISORS WEALTH MANAGEMENT, LLC
RIA
CRD#: 158108
Bridgewater, MA
Past
January 22, 2013 - June 1, 2016
USADVISORS WEALTH MANAGEMENT, LLC
RIA
CRD#: 158108
BRIDGEWATER, MA
Past
August 10, 2009 - January 24, 2017
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BRIDGEWATER, MA
Past
July 24, 2009 - March 29, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BRIDGEWATER, MA
Past
April 25, 2008 - July 23, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BRIDGEWATER, MA
Past
October 17, 2007 - July 23, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BRIDGEWATER, MA
Past
March 2, 2007 - October 16, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PROVIDENCE, RI
Past
February 14, 2007 - October 16, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PROVIDENCE, RI
Past
January 18, 2002 - August 2, 2004
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
WINDSOR, CT
Past
April 5, 2001 - December 31, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
July 2, 1998 - February 11, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 9, 1995 - May 19, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
February 14, 1991 - February 11, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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
Maine(1/18/2024)
RR
Maryland(6/21/2022)
RR
Massachusetts(6/21/2022)
IAR
Massachusetts(7/7/2022)
RR
New Hampshire(6/21/2022)
RR
New York(7/2/2024)
RR
Rhode Island(6/21/2022)
RR
Virginia(6/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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 | 9 |
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#: 35371Bridgewater, MA 02324TRUST BUT VERIFY
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