JD
John R. Davidson
OSAIC INSTITUTIONS
Hyannis, MA 02601
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CRD#: 2330959
JD
Professional summary
John Robert Davidson is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hyannis, Massachusetts.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 John Robert Davidson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Robert Davidson'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
November 20, 2012 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 171 Falmouth Road, Hyannis, MA 02601Office #2: 128 Route 137, East Harwich, MA 02645Office #3: 2745 Main Street, Brewster, MA 02631Office #4: 532 Main Street, Harwich Port, MA 02646Office #5: 548 Main Street, Chatham, MA 02633Office #6: 10 Rosebrook Place, Wareham, MA 02571Office #7: 412 State Road, Vineyard Haven, MA 02568Office #8: Zero Mainst, Nantucket, MA 02554Office #9: 112 Pleasant Street, Nantucket, MA 02554RIA
BD
CRD#: 35371
Hyannis, MA
Current
May 5, 2011 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 171 Falmouth Road, Hyannis, MA 02601Office #2: 128 Route 137, East Harwich, MA 02645Office #3: 2745 Main Street, Brewster, MA 02631Office #4: 532 Main Street, Harwich Port, MA 02646Office #5: 548 Main Street, Chatham, MA 02633Office #6: 10 Rosebrook Place, Wareham, MA 02571Office #7: 412 State Road, Vineyard Haven, MA 02568Office #8: Zero Mainst, Nantucket, MA 02554Office #9: 112 Pleasant Street, Nantucket, MA 02554RIA
BD
CRD#: 35371
Hyannis, MA
Past
August 11, 2010 - April 27, 2011
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
HYANNIS, MA
Past
February 28, 2002 - January 26, 2010
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
June 21, 2001 - February 28, 2002
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
SEATTLE, WA
Past
June 7, 2000 - June 6, 2001
GUGGENHEIM DISTRIBUTORS, LLC
BD
CRD#: 40805
ROCKVILLE, MD
Past
September 15, 1998 - May 30, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
November 1, 1996 - June 5, 1998
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
October 8, 1996 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 8039
BOSTON, MA
Past
April 23, 1996 - September 24, 1996
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
October 17, 1995 - February 28, 1996
CCBT BROKERAGE DIRECT, INC.
BD
CRD#: 29602
HYANNIS, 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
California(4/5/2016)
RR
Connecticut(3/28/2016)
RR
Florida(4/9/2014)
RR
Massachusetts(5/5/2011)
IAR
Massachusetts(11/20/2012)
RR
New Hampshire(11/9/2017)
RR
Texas(11/15/2017)
RR
Virginia(11/8/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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 | 9 |
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#: 35371Hyannis, MA 02601TRUST BUT VERIFY
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