RN
Robert Nieto
OSAIC INSTITUTIONS
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 2535794
RN
Professional summary
Robert Nieto JR is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Woodland Hills, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1. 03/07/2019 - AmeriEstate Legal Plan - investment related - At reported business location(s) - Prepaid Legal - start date:01/02/2018 - 3 hrs/mo -
CRS (Client Relationship Summary) - RIA
Click below to view Robert Nieto JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Nieto JR'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
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6250 Topanga Canyon Blvd., #1530, Woodland Hills, CA 91367RIA
BD
CRD#: 35371
Woodland Hills, CA
Current
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6250 Topanga Canyon Blvd., #1530, Woodland Hills, CA 91367RIA
BD
CRD#: 35371
Woodland Hills, CA
Past
January 24, 2018 - May 18, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODLAND HILLS, CA
Past
January 24, 2018 - May 18, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
October 5, 2012 - January 12, 2018
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BURBANK, CA
Past
September 28, 2012 - January 12, 2018
OSAIC SERVICES, INC.
BD
CRD#: 133763
BURBANK, CA
Past
June 20, 2011 - October 17, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODLAND HILLS, CA
Past
June 20, 2011 - October 17, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODLAND HILLS, CA
Past
August 10, 2005 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WOODLAND HILLS, CA
Past
August 9, 2005 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WOODLAND HILLS, CA
Past
May 12, 2005 - July 25, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
REDONDO BEACH, CA
Past
May 12, 2005 - July 25, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 11, 2004 - March 4, 2005
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
NAPA, CA
Past
September 15, 2003 - March 4, 2005
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
August 27, 2002 - September 15, 2003
GATEWAY INVESTMENT SERVICES, INC.
BD
CRD#: 31153
OAK PARK, IL
Past
September 5, 2001 - August 21, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 2, 2001 - September 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 7, 1997 - March 9, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
August 12, 1997 - November 7, 1997
KENNEDY, CABOT & CO.
BD
CRD#: 2417
BEVERLY HILLS, CA
Past
September 28, 1994 - November 2, 1995
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(5/4/2022)
RR
California(5/4/2022)
IAR
California(5/4/2022)
RR
Colorado(5/9/2022)
RR
Florida(5/4/2022)
RR
Georgia(5/4/2022)
RR
Indiana(5/22/2023)
RR
Maryland(3/1/2024)
RR
Michigan(5/20/2022)
RR
Missouri(5/4/2022)
RR
Nevada(5/4/2022)
RR
New Mexico(5/4/2022)
RR
New York(5/4/2022)
RR
North Carolina(5/4/2022)
RR
Oregon(5/4/2022)
RR
Texas(11/13/2023)
RR
Washington(5/4/2022)
Exams
State Security Law Exam
State Security Law 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.
