AP
Antonio Piccolino
OSAIC INSTITUTIONS
Poughkeepsie, NY 12601
Some features on this profile are disabled
CRD#: 2174088
AP
Professional summary
Antonio Piccolino is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Poughkeepsie, New York.
Antonio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Antonio has worked at 15 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 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.
1- 03/2022 / DBA for LPL Business (entity for LPL business) / Sterling Wealth Services / Investment Related / Florida, NY 2- 03/2022 / DBA for LPL Business (entity for LPL business) / Webster Investments / Investment Related / Florida, NY
CRS (Client Relationship Summary) - RIA
Click below to view Antonio Piccolino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Antonio Piccolino'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
February 27, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1898 South Rd, Poughkeepsie, NY 12601Office #2: 2 Jefferson Plaza, Poughkeepsie, NY 12601Office #3: 7350 South Broadway, Red Hook, NY 12571RIA
BD
CRD#: 35371
Poughkeepsie, NY
Current
February 27, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1898 South Rd, Poughkeepsie, NY 12601Office #2: 2 Jefferson Plaza, Poughkeepsie, NY 12601Office #3: 7350 South Broadway, Red Hook, NY 12571RIA
BD
CRD#: 35371
Poughkeepsie, NY
Past
March 31, 2022 - March 2, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
BD
CRD#: 170845
South Fallsburg, NY
Past
March 1, 2022 - March 2, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
ELLENVILLE, NY
Past
March 1, 2022 - March 2, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ELLENVILLE, NY
Past
September 9, 2021 - March 10, 2022
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Norwalk, CT
Past
September 9, 2021 - March 10, 2022
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Norwalk, CT
Past
April 30, 2018 - September 10, 2021
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
BD
CRD#: 170845
South Fallsburg, NY
Past
April 10, 2018 - September 22, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
ELLENVILLE, NY
Past
April 9, 2018 - September 22, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
ELLENVILLE, NY
Past
December 6, 2012 - April 2, 2018
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
VAILS GATE, NY
Past
December 6, 2012 - April 2, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
VAILS GATE, NY
Past
June 23, 2011 - November 27, 2012
M&T SECURITIES, INC.
RIA
CRD#: 17358
OSSINING, NY
Past
February 12, 2010 - February 12, 2010
M&T SECURITIES, INC.
RIA
CRD#: 17358
OSSINING, NY
Past
August 19, 2009 - November 27, 2012
M&T SECURITIES, INC.
BD
CRD#: 17358
OSSINING, NY
Past
December 19, 2006 - August 12, 2009
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
HYDE PARK, NY
Past
December 14, 2006 - August 12, 2009
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
HYDE PARK, NY
Past
January 3, 2006 - November 28, 2006
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
POUGHQUAG, NY
Past
October 18, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
January 1, 2005 - October 25, 2005
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
March 5, 2002 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
May 16, 2000 - March 5, 2002
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
October 8, 1999 - March 27, 2000
BNY INVESTMENT CENTER INC.
BD
CRD#: 47683
NEW YORK, NY
Past
February 17, 1999 - November 3, 1999
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
November 26, 1993 - February 3, 1994
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
June 1, 1992 - February 3, 1999
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
October 24, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
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
Florida(2/27/2023)
RR
New Jersey(1/15/2025)
RR
New York(2/27/2023)
IAR
New York(2/27/2023)
RR
Pennsylvania(12/2/2024)
RR
Virginia(12/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 35371Poughkeepsie, NY 12601TRUST BUT VERIFY
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Contact information
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