GS
Gerhard P. Schneider
OSAIC INSTITUTIONS
New York, NY 10003
Some features on this profile are disabled
CRD#: 2561222
GS
Professional summary
Gerhard Philip Schneider, CFP®, who also goes by Gary Schneider, Gerhard P Schneider, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New York, New York.
Gerhard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gerhard has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary Schneider | Gerhard P Schneider
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.) Gary Schneider CFP tutor. Not investment related. Owner. Started Nov 2019. Approx 10 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Gerhard Philip Schneider's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gerhard Philip Schneider'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®
Experience
Current
January 2, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10 East 14th Street, New York, NY 10003RIA
BD
CRD#: 35371
New York, NY
Current
December 16, 2019 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10 East 14th Street, New York, NY 10003RIA
BD
CRD#: 35371
New York, NY
Past
June 17, 2011 - December 31, 2019
AEGIS CAPITAL CORP.
RIA
CRD#: 15007
NEW YORK, NY
Past
October 7, 2010 - December 31, 2019
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
March 6, 2009 - October 5, 2010
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
January 10, 2005 - March 27, 2009
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
January 2, 2002 - January 13, 2005
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 21, 1999 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
September 8, 1997 - May 11, 1999
BARINGTON CAPITAL GROUP, L.P.
BD
CRD#: 29383
NEW YORK, NY
Past
May 25, 1995 - September 11, 1997
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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
Alaska(11/15/2021)
RR
Arizona(2/12/2021)
RR
Arkansas(9/23/2025)
RR
California(12/18/2019)
RR
Colorado(12/18/2019)
RR
Connecticut(7/14/2020)
RR
Delaware(9/10/2021)
RR
District of Columbia(7/31/2020)
RR
Florida(3/16/2020)
RR
Georgia(4/27/2022)
RR
Illinois(10/25/2022)
RR
Indiana(8/1/2022)
RR
Kentucky(1/28/2021)
RR
Louisiana(10/12/2022)
RR
Maine(3/13/2020)
RR
Maryland(2/10/2020)
RR
Massachusetts(5/26/2021)
RR
Michigan(10/13/2022)
RR
Minnesota(10/11/2022)
RR
Missouri(5/2/2024)
RR
Montana(4/25/2024)
RR
Nevada(9/16/2021)
RR
New Jersey(1/17/2020)
IAR
New Jersey(1/24/2020)
RR
New Mexico(4/24/2024)
RR
New York(12/16/2019)
IAR
New York(7/13/2021)
RR
North Carolina(1/14/2020)
RR
Ohio(6/22/2021)
RR
Oregon(11/30/2020)
RR
Pennsylvania(3/26/2020)
RR
South Dakota(8/23/2023)
RR
Tennessee(11/5/2021)
RR
Texas(1/2/2020)
IAR
Texas(1/2/2020)
RR
Utah(2/4/2022)
RR
Vermont(8/20/2021)
RR
Virginia(9/30/2021)
RR
Washington(3/28/2022)
RR
Wisconsin(12/2/2020)
RR
Wyoming(4/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
