FP
Frank R. Petrilli
OSAIC INSTITUTIONS
Larchmont, NY 10538
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CRD#: 2176221
FP
Professional summary
Frank Richard Petrilli is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Larchmont, New York.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Richard Petrilli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Richard Petrilli'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 31, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1289 W Boston Post Rd, Larchmont, NY 10538RIA
BD
CRD#: 35371
Larchmont, NY
Current
July 31, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1289 W Boston Post Rd, Larchmont, NY 10538RIA
BD
CRD#: 35371
Larchmont, NY
Past
June 14, 2021 - June 27, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
June 14, 2021 - June 27, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 30, 2013 - June 28, 2021
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
SCARSDALE, NY
Past
May 28, 2013 - June 28, 2021
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SCARSDALE, NY
Past
January 9, 2012 - May 13, 2013
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
SCARSDALE, NY
Past
January 5, 2012 - May 13, 2013
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
SCARSDALE, NY
Past
October 23, 2009 - January 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GLEN ROCK, NJ
Past
October 23, 2009 - January 3, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GLEN ROCK, NJ
Past
October 10, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
GLEN ROCK, NJ
Past
October 1, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
GLEN ROCK, NJ
Past
April 18, 2006 - March 15, 2007
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
October 1, 2004 - March 2, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
December 10, 1999 - October 30, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
BD
CRD#: 36807
JERSEY CITY, NJ
Past
September 25, 1998 - November 6, 2002
ICAPITAL MARKETS LLC
BD
CRD#: 5209
OMAHA, NE
Past
October 23, 1996 - August 7, 1998
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
June 27, 1994 - September 11, 1995
WASHINGTON DISCOUNT BROKERAGE CORP.
BD
CRD#: 34217
NEW YORK, NY
Past
May 1, 1992 - June 24, 1994
TD AMERITRADE, INC.
BD
CRD#: 7870
Past
January 7, 1992 - March 26, 1992
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
October 7, 1991 - January 7, 1992
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 7, 1991 - January 7, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Connecticut(5/29/2024)
RR
Florida(7/31/2023)
RR
New Jersey(7/31/2023)
IAR
New Jersey(8/1/2023)
RR
New York(7/31/2023)
IAR
New York(7/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/8/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
