AS
Albert A. Smith
OSAIC INSTITUTIONS
West Roxbury, MA 02132
Some features on this profile are disabled
CRD#: 2213278
AS
Professional summary
Albert Andrew Smith JR, who also goes by Albert Andrew Smith, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in West Roxbury, Massachusetts.
Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Albert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Albert Andrew Smith
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 Albert Andrew Smith JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert Andrew Smith JR'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
January 4, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 36 Spring Street, West Roxbury, MA 02132Office #2: 36 Spring Street, West Roxbury, MA 02132Office #3: 40 Belgrade Avenue, Roslindale, MA 02131RIA
BD
CRD#: 35371
West Roxbury, MA
Current
November 7, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 36 Spring Street, West Roxbury, MA 02132RIA
BD
CRD#: 35371
West Roxbury, MA
Past
March 26, 2018 - September 14, 2023
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
WEYMOUTH, MA
Past
March 16, 2018 - September 14, 2023
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
WEYMOUTH, MA
Past
September 19, 2012 - March 15, 2018
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
HALIFAX, MA
Past
September 19, 2012 - March 15, 2018
SANTANDER SECURITIES LLC
BD
CRD#: 41791
HALIFAX, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
KINGSTON, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
KINGSTON, MA
Past
July 29, 2004 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
MATTAPAN, MA
Past
July 23, 2004 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MATTAPAN, MA
Past
September 24, 2001 - July 23, 2004
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
KINGSTON, MA
Past
July 24, 2001 - July 23, 2004
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
MERIDEN, CT
Past
August 21, 2000 - July 24, 2001
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 31, 1996 - August 17, 2000
BANKBOSTON INVESTOR SERVICES, INC.
BD
CRD#: 36369
BOSTON, MA
Past
September 8, 1993 - August 29, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 22, 1992 - July 30, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 22, 1992 - July 30, 1993
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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
Massachusetts(11/7/2023)
IAR
Massachusetts(1/4/2024)
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371West Roxbury, MA 02132TRUST BUT VERIFY
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