SO
Stephen E. O'callaghan
OSAIC INSTITUTIONS
HANOVER, NH 03755
Some features on this profile are disabled
CRD#: 2360651
SO
Professional summary
Stephen Edward O'callaghan, who also goes by Stephen Edward Ocallaghan, Stephen Ocallaghan, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hanover, New Hampshire.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 10 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
Stephen Edward Ocallaghan | Stephen Ocallaghan
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 Stephen Edward O'callaghan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Edward O'callaghan'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 15, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Maple Street, Hanover, NH 03755Office #2: 1 Pillsbury Street, Suite 303, Concord, NH 03301RIA
BD
CRD#: 35371
HANOVER, NH
Current
July 15, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Maple Street, Hanover, NH 03755Office #2: 1 Pillsbury Street, Suite 303, Concord, NH 03301RIA
BD
CRD#: 35371
HANOVER, NH
Past
April 14, 2014 - July 15, 2024
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
HUDSON, NH
Past
April 14, 2014 - July 15, 2024
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
HUDSON, NH
Past
September 19, 2012 - April 16, 2014
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WAKEFIELD, MA
Past
September 19, 2012 - April 16, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WAKEFIELD, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
WINCHESTER, MA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
WINCHESTER, MA
Past
May 4, 2005 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
FRAMINGHAM, MA
Past
May 4, 2005 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
FRAMINGHAM, MA
Past
October 20, 2004 - May 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FRAMINGHAM, MA
Past
October 20, 2004 - May 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
July 29, 2003 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
FRAMINGHAM, MA
Past
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 2, 1996 - September 25, 2000
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
Past
March 28, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
June 8, 1993 - March 28, 1994
SHAWMUT BROKERAGE, INC.
BD
CRD#: 17081
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(7/14/2025)
RR
Arizona(2/27/2025)
RR
Arkansas(2/27/2025)
RR
California(1/2/2025)
RR
Colorado(8/3/2024)
RR
Connecticut(7/15/2024)
RR
Florida(7/15/2024)
RR
Maine(7/15/2024)
RR
Maryland(8/3/2024)
RR
Massachusetts(7/15/2024)
RR
New Hampshire(7/15/2024)
IAR
New Hampshire(7/15/2024)
RR
New Jersey(1/2/2025)
RR
New York(2/27/2025)
RR
North Carolina(8/3/2024)
RR
Pennsylvania(1/2/2025)
RR
Rhode Island(7/15/2024)
RR
South Carolina(8/3/2024)
RR
Texas(10/7/2024)
RR
Vermont(7/15/2024)
RR
Washington(1/2/2025)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 35371Hanover, NH 03755TRUST BUT VERIFY
Monitor Stephen O'callaghan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
