PD
Paul R. Duquette
OSAIC INSTITUTIONS
East Longmeadow, MA 01028
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CRD#: 2416082
PD
Professional summary
Paul Richard Duquette, who also goes by Paul R Duquette, Paul Richard Duquette, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in East Longmeadow, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul R Duquette | Paul Richard Duquette
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 Paul Richard Duquette's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Richard Duquette'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
April 2, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 61 North Main Street, East Longmeadow, MA 01028RIA
BD
CRD#: 35371
East Longmeadow, MA
Current
April 2, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 61 North Main Street, East Longmeadow, MA 01028RIA
BD
CRD#: 35371
East Longmeadow, MA
Past
December 5, 2024 - February 4, 2025
AGEMY WEALTH ADVISORS, LLC
RIA
CRD#: 218512
GUILFORD, CT
Past
June 8, 2023 - January 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MADISON, CT
Past
June 7, 2023 - January 12, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MADISON, CT
Past
January 28, 2020 - May 1, 2023
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
MIDDLETOWN, CT
Past
January 28, 2020 - May 1, 2023
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
MIDDLETOWN, CT
Past
November 13, 2018 - January 29, 2020
PEOPLE'S UNITED ADVISORS, INC.
RIA
CRD#: 292454
Glastonbury, CT
Past
November 13, 2018 - January 29, 2020
PEOPLE'S SECURITIES, INC.
RIA
CRD#: 13704
GLASTONBURY, CT
Past
November 9, 2018 - January 29, 2020
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
GLASTONBURY, CT
Past
September 22, 2015 - March 9, 2017
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
EAST HARTFORD, CT
Past
September 22, 2015 - March 9, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
EAST HARTFORD, CT
Past
October 15, 2014 - June 30, 2015
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
ROCKVILLE, CT
Past
October 15, 2014 - June 30, 2015
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
ROCKVILLE, CT
Past
September 28, 2012 - September 29, 2014
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ROCKY HILL, CT
Past
September 28, 2012 - September 29, 2014
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ROCKY HILL, CT
Past
May 27, 2008 - September 14, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
EAST HARTFORD, CT
Past
May 27, 2008 - September 14, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST HARTFORD, CT
Past
September 6, 2002 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
WETHERSFIELD, CT
Past
March 22, 2001 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
WETHERSFIELD, CT
Past
December 6, 1993 - March 20, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 6, 1993 - March 20, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, 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
Connecticut(4/2/2025)
IAR
Connecticut(4/2/2025)
RR
Massachusetts(4/2/2025)
IAR
Massachusetts(5/7/2025)
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)
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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#: 35371East Longmeadow, MA 01028TRUST BUT VERIFY
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