DG
Dorothy J. Girardi
OSAIC INSTITUTIONS
Wauchula, FL 33873
Some features on this profile are disabled
CRD#: 2551057
DG
Professional summary
Dorothy Jean Girardi, who also goes by Dorothy Girard, Dorothy J Girardi, Dorothy J Torro, Dorothy Jean Torro, Dorothy J Torro Claflin, Dorothy Jean Torro Claflin, is a registered financial professional currently at OSAIC INSTITUTIONS, INC. located in Wauchula, Florida.
Dorothy is registered as a RR (Registered Representative) and started their career in finance in 1995. Dorothy has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dorothy Girard | Dorothy J Girardi | Dorothy J Torro | Dorothy Jean Torro | Dorothy J Torro Claflin | Dorothy Jean Torro Claflin
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) - BD
Click below to view Dorothy Jean Girardi'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
August 15, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 106 East Main Street, Wauchula, FL 33873RIA
BD
CRD#: 35371
Wauchula, FL
Past
July 13, 2018 - August 19, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
March 25, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SARASOTA, FL
Past
March 13, 2014 - August 16, 2019
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SARASOTA, FL
Past
April 27, 2012 - March 10, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKE PLACID, NY
Past
April 18, 2012 - March 10, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
LAKE PLACID, NY
Past
August 24, 2011 - April 11, 2012
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
COLCHESTER, VT
Past
June 27, 2011 - April 11, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
COLCHESTER, VT
Past
July 29, 2009 - June 10, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
ESSEX JUNCTION, VT
Past
July 21, 2009 - June 10, 2011
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
ESSEX JUNCTION, VT
Past
September 14, 2005 - June 9, 2009
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SARASOTA, FL
Past
August 23, 2005 - June 9, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
SARASOTA, FL
Past
May 21, 2004 - July 21, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SARASOTA, FL
Past
May 13, 2004 - July 21, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 9, 1998 - May 17, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 9, 1995 - December 18, 1997
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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.
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
Florida(8/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/15/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
