DH
David G. Hanafin
OSAIC INSTITUTIONS
Burlington, MA 01803
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CRD#: 2275414
DH
Professional summary
David George Hanafin is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Burlington, Massachusetts.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 9 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
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) SBLI - INSURANCE - YES, INVESTMENT RELATED - AGENT - BEGAN 4/2005 - LESS THAN 10 HOURS A MONTH, ALL DURING MARKET HOURS. 2) MARTINI INSURANCE AGENCY - P&C INSURANCE - YES, INVESTMENT RELATED. BEGAN 9/2012 - LESS THAN 10 HOURS A MONTH, LESS THAN 10 HOURS A MONTH DURING MARKET HOURS. - LIASON FOR THE BANK - BANK OFFICERS P&C INSURANCE TO CUSTOMERS, I OVERSEE. 3) TUDOR RISK - P&C INSURANCE - YES, INVESTMENT RELATED - BEGAN 9/2012 - I AM THE BANK'S LIASON TO TUDOR. LESS THAN 10 HOURS A MONTH, ALL DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view David George Hanafin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David George Hanafin'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
June 24, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7 Bedford Street, Burlington, MA 01803RIA
BD
CRD#: 35371
Burlington, MA
Current
June 21, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7 Bedford Street, Burlington, MA 01803RIA
BD
CRD#: 35371
Burlington, MA
Past
August 22, 2011 - June 24, 2013
SENTINEL PENSION ADVISORS, LLC.
RIA
CRD#: 109901
WAKEFIELD, MA
Past
June 10, 2010 - June 24, 2013
SENTINEL SECURITIES, LLC.
BD
CRD#: 110942
WOBURN, MA
Past
March 8, 2006 - June 7, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOBURN, MA
Past
April 5, 2005 - June 7, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
WOBURN, MA
Past
August 12, 2003 - April 8, 2005
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
March 21, 2001 - August 11, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
February 2, 2000 - April 5, 2001
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
March 22, 1999 - January 18, 2000
BANKBOSTON INVESTOR SERVICES, INC.
BD
CRD#: 36369
BOSTON, MA
Past
January 2, 1996 - March 8, 1999
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
May 17, 1995 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
June 10, 1994 - May 10, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
District of Columbia(6/21/2013)
RR
Florida(6/21/2013)
RR
Massachusetts(6/21/2013)
IAR
Massachusetts(6/24/2013)
RR
New Hampshire(6/21/2013)
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#: 35371Burlington, MA 01803TRUST BUT VERIFY
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