Michael Brescione

OSAIC INSTITUTIONS

Los Alamitos, CA 90720

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CRD#: 2452589

Professional summary

Michael Brescione, who also goes by Michael Andrew Brescione, Michael Brescione, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Los Alamitos, California.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Andrew Brescione | Michael Brescione

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brescione's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Brescione's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 22, 2025 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 11021 Winners Circle Way Suite 105, Los Alamitos, CA 90720

RIA

CRD#: 35371

Los Alamitos, CA

Current

July 22, 2025 - Present

OSAIC INSTITUTIONS, INC.

Office #1: 11021 Winners Circle Way Suite 105, Los Alamitos, CA 90720

RIA

CRD#: 35371

Los Alamitos, CA

Past

April 19, 2021 - August 31, 2023

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

Clovis, CA

Past

April 19, 2021 - August 31, 2023

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

Clovis, CA

Past

June 14, 2016 - May 13, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

FRESNO, CA

Past

June 14, 2016 - May 13, 2019

LPL FINANCIAL LLC

CRD#: 6413

FRESNO, CA

Past

November 5, 2015 - June 15, 2016

WESCOM FINANCIAL SERVICES

RIA

CRD#: 125650

PASADENA, CA

Past

November 4, 2015 - June 15, 2016

WESCOM FINANCIAL SERVICES

CRD#: 125650

PASADENA, CA

Past

August 7, 2014 - November 4, 2015

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

GRANADA HILLS, CA

Past

August 7, 2014 - November 4, 2015

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

GRANADA HILLS, CA

Past

October 26, 2012 - May 8, 2013

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

FRESNO, CA

Past

May 15, 2008 - May 8, 2013

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

FRESNO, CA

Past

December 11, 2007 - May 7, 2008

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

TUSTIN, CA

Past

December 11, 2007 - May 7, 2008

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

TUSTIN, CA

Past

September 26, 2007 - November 29, 2007

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

FRESNO, CA

Past

February 13, 2007 - November 29, 2007

WAMU INVESTMENTS, INC.

CRD#: 599

FRESNO, CA

Past

October 4, 2005 - June 26, 2006

CITICORP INVESTMENT SERVICES

CRD#: 23988

FRESNO, CA

Past

August 31, 2004 - September 21, 2005

WESCOM FINANCIAL SERVICES

CRD#: 125650

ANAHEIM, CA

Past

February 20, 2004 - September 1, 2004

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

CULVER CITY, CA

Past

February 20, 2004 - September 1, 2004

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

SAN DIEGO, CA

Past

October 10, 2003 - February 27, 2004

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

FRESNO, CA

Past

October 10, 2003 - February 27, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

February 26, 2003 - October 17, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONTEREY PARK, CA

Past

May 1, 2000 - October 17, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 3, 1998 - May 2, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

November 14, 1998 - December 15, 1998

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

April 15, 1997 - November 14, 1998

GLENFED BROKERAGE SERVICES

CRD#: 13648

GLENDALE, CA

Past

March 20, 1995 - January 6, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(7/22/2025)

IAR

California
(7/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/24/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

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

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.

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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael Brescione

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Brescione's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Brescione's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WESCOM FINANCIAL SERVICES

WESCOM FINANCIAL SERVICES

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

CITICORP INVESTMENT SERVICES

WESCOM FINANCIAL SERVICES

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GUARANTY BROKERAGE SERVICES, INC.

CAL FED INVESTMENTS

GLENFED BROKERAGE SERVICES

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2012

Series 63

Date: 4/25/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1995

FINRA

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

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