CL
Christopher Lineberger
OSAIC INSTITUTIONS
Newtown, CT 06470
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CRD#: 2437727
CL
Professional summary
Christopher Lineberger, who also goes by Chris Lineberger, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Newtown, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Christopher has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Lineberger
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.) Cortes Benefit Consulting. COMPREHENSIVE MEDICARE PLANNING POSITION: Sales and marketing NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 09/02/2022 ADDRESS: 635 Ridgefield Road, Wilton CT 06897, United States DESCRIPTION: Sales, marketing and planning for medicare beneficiaries and their families
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Lineberger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lineberger'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 29, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 32 Church Hill Rd, Newtown, CT 06470Office #2: 926 White Plains Road, Trumbull, CT 06601Office #3: 477 Main Street, Monroe, CT 06468RIA
BD
CRD#: 35371
Newtown, CT
Current
April 29, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 32 Church Hill Rd, Newtown, CT 06470Office #2: 926 White Plains Road, Trumbull, CT 06601Office #3: 477 Main Street, Monroe, CT 06468RIA
BD
CRD#: 35371
Newtown, CT
Past
August 16, 2022 - April 25, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHELTON, CT
Past
June 3, 2022 - April 25, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHELTON, CT
Past
August 28, 2020 - December 26, 2021
BANKERS LIFE SECURITIES, INC.
BD
CRD#: 173962
Danbury, CT
Past
January 5, 2015 - August 27, 2019
BOOMERANG CAPITAL LLC
BD
CRD#: 120313
DARIEN, CT
Past
July 21, 2011 - January 22, 2013
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
NEW YORK, NY
Past
December 22, 2010 - February 9, 2011
AURIA SERVICES CORP.
BD
CRD#: 27851
NEW YORK, NY
Past
February 12, 2001 - July 16, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
June 24, 1998 - February 12, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
April 20, 1998 - July 6, 1998
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
Past
November 6, 1996 - March 26, 1998
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
March 9, 1994 - October 3, 1996
SCHRODER & CO. INC.
BD
CRD#: 6112
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
Alabama(5/28/2024)
RR
California(5/28/2024)
IAR
Connecticut(4/29/2024)
RR
Connecticut(4/30/2024)
RR
Florida(5/29/2024)
RR
Georgia(5/30/2024)
RR
Illinois(9/26/2025)
RR
Indiana(5/6/2025)
RR
Maine(5/28/2024)
RR
Maryland(9/25/2024)
RR
Massachusetts(5/28/2024)
RR
Missouri(5/28/2024)
RR
New Hampshire(5/29/2024)
RR
New York(5/28/2024)
RR
North Carolina(5/28/2024)
RR
Ohio(5/13/2025)
RR
Tennessee(4/9/2025)
RR
Virginia(5/28/2024)
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 | 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#: 35371Newtown, CT 06470TRUST BUT VERIFY
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