BP
Bradley L. Peterson
OSAIC INSTITUTIONS
Indiana, PA 15701
Some features on this profile are disabled
CRD#: 2192537
BP
Professional summary
Bradley Lewis Peterson, AIF®, who also goes by Bradley L Peterson, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Indiana, Pennsylvania.
Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Bradley has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bradley L Peterson
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)GREEK CATHOLIC UNION,FRATERNAL INSURANC ORGANIZATION OFFERING LIFE INSURANCE AND ANNUITIES TO ITS MEMBERS,INVESTMENT RELATED,APPOINTED LICENSED AGENT,5 HOURS DURING THE MONTH,5 HOURS DURING MARKET HOURS,SALE OF FIXED INSURANCE AND ANNUITY PRODUCTS. (2)NATIONAL SLOVAK SOCIETY,FRATERNAL INSURANCE ORGANIZATION OFFERING LIFE INSURANCE AND ANNUITIES TO ITS MEMBERS,APPOINTED LICENSED AGENT,5 HOURS PER MONTH,5 HOURS DURING MARKET HOURS,SALE OF FIXED INSURANCE AND ANNUITY PRODUCTIONS, (3)JRG ADVISORS,LLC,INVESTMENT RELATED,COMPANY HEALTH INSURANCE FOR THE BANK, OLD BUSINESS ONLY, NO NEW BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Lewis Peterson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bradley Lewis Peterson'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®
Experience
Current
February 20, 2014 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 949 Philadelphia St, Indiana, PA 15701RIA
BD
CRD#: 35371
Indiana, PA
Current
February 20, 2014 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 949 Philadelphia St, Indiana, PA 15701RIA
BD
CRD#: 35371
Indiana, PA
Past
June 19, 2012 - February 20, 2014
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
INDIANA, PA
Past
June 19, 2012 - February 20, 2014
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
INDIANA, PA
Past
June 7, 2010 - June 13, 2012
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
HOMER CITY, PA
Past
May 28, 2010 - June 13, 2012
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
HOMER CITY, PA
Past
April 30, 2007 - December 3, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
INDIANA, PA
Past
February 4, 2004 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
INDIANA, PA
Past
January 1, 1999 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
INDIANA, PA
Past
November 8, 1996 - January 9, 1997
KEYSTONE BROKERAGE, LLC
BD
CRD#: 17445
WILLIAMSPORT, PA
Past
September 19, 1995 - November 7, 1996
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
March 1, 1994 - February 22, 1995
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
October 30, 1992 - March 9, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
December 19, 1991 - November 3, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
December 19, 1991 - November 3, 1992
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(5/14/2019)
RR
Florida(2/20/2014)
RR
Indiana(8/13/2021)
RR
Kentucky(11/12/2020)
RR
Maryland(12/10/2015)
RR
Nevada(1/10/2017)
RR
New York(10/15/2024)
RR
Pennsylvania(2/20/2014)
IAR
Pennsylvania(2/20/2014)
RR
South Carolina(4/12/2016)
RR
Texas(2/20/2014)
IAR
Texas(11/28/2016)
RR
Virginia(1/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
