JW
Jeffrey M. White
OSAIC INSTITUTIONS
Asheville, NC 28803
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CRD#: 2139762
JW
Professional summary
Jeffrey Michael White, who also goes by Jeff Michael White, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Asheville, North Carolina.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jeffrey has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Michael White
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 Jeffrey Michael White's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael White'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
May 31, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 5 Eastwood Village Blvd, Asheville, NC 28803Office #2: 5 Olde Eastwood Village Blvd Us 74 E, Asheville, NC 28803RIA
BD
CRD#: 35371
Asheville, NC
Current
May 31, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 5 Eastwood Village Blvd, Asheville, NC 28803Office #2: 5 Olde Eastwood Village Blvd Us 74 E, Asheville, NC 28803RIA
BD
CRD#: 35371
Asheville, NC
Past
September 2, 2015 - May 30, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Black Mountain, NC
Past
August 31, 2015 - May 30, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Black Mountain, NC
Past
December 9, 2013 - August 28, 2015
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
ASHEVILLE, NC
Past
April 29, 2013 - September 16, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ASHEVILLE, NC
Past
April 29, 2013 - September 16, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ASHEVILLE, NC
Past
November 6, 2006 - September 21, 2012
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
ASHEVILLE, NC
Past
October 31, 2006 - September 21, 2012
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
ASHEVILLE, NC
Past
January 3, 2006 - February 13, 2006
WADDELL & REED
RIA
CRD#: 866
MANCHESTER, NH
Past
January 3, 2006 - February 13, 2006
WADDELL & REED
BD
CRD#: 866
MANCHESTER, NH
Past
April 3, 2002 - January 10, 2005
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
KEENE, NH
Past
June 6, 2001 - January 10, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
June 14, 1999 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
September 30, 1998 - February 23, 1999
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
July 1, 1996 - September 28, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
May 15, 1995 - July 1, 1996
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
April 26, 1991 - September 25, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 26, 1991 - September 25, 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
Alabama(3/22/2022)
RR
California(2/16/2023)
RR
Florida(3/11/2019)
RR
Georgia(2/16/2022)
RR
Hawaii(2/16/2022)
RR
North Carolina(5/31/2017)
IAR
North Carolina(5/31/2017)
RR
South Carolina(2/17/2022)
RR
Washington(6/27/2019)
RR
West Virginia(11/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 9/25/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 35371Asheville, NC 28803TRUST BUT VERIFY
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