Mark J. Gianno

OSAIC WEALTH

HYANNIS, MA 02601

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CRD#: 2581364

Professional summary

Mark John Gianno, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Hyannis, Massachusetts.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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.

***GIANNO AND FREDA, INC. POSITION: President NATURE: Mark Gianno is a Certified Public Accountant licensed by the Commonwealth of Massachusetts. I am the President of Gianno and Freda, Inc., a Massachusetts Public Accounting firm. INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 06/30/1986 ADDRESS: 296 Winter Street, Hyannis MA 02601 DESCRIPTION: Accounting, Tax, bookkeeping, retirement and income planning, business advisory services to individuals, trusts and closely held businesses. These services are personally delivered by me with the assistance of professional accounting staff. ***MARK GIANNO, CERTIFIED FINANCIAL PLANNER POSITION: Advisor NATURE: Financial Advisor through Securities America Advisors INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 16 START DATE: 01/04/1993 ADDRESS: 296 Winter Street, Hyannis MA 02601 DESCRIPTION: Financial Advisory Services including fee-based investing, retirement planning, cash flow planning, estate planning, asset allocation modelling, investment risk assessments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Gianno's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark John Gianno'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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 296 Winter St, Hyannis, MA 02601

RIA

CRD#: 23131

HYANNIS, MA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 296 Winter St, Hyannis, MA 02601

RIA

CRD#: 23131

HYANNIS, MA

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HYANNIS, MA

Past

July 17, 2020 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

HYANNIS, MA

Past

September 10, 2007 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

HYANNIS, MA

Past

June 19, 1995 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

HYANNIS, MA

Past

February 2, 1995 - July 5, 1995

NEW ENGLAND SECURITIES

CRD#: 615

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Connecticut
(6/14/2024)

District of Columbia
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Maine
(6/14/2024)

Maryland
(6/14/2024)

Massachusetts
(6/14/2024)

IAR

Massachusetts
(6/14/2024)

New Hampshire
(6/14/2024)

New Jersey
(6/14/2024)

New York
(6/14/2024)

North Carolina
(6/14/2024)

Pennsylvania
(6/14/2024)

Rhode Island
(6/14/2024)

Tennessee
(6/14/2024)

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

Series 63

Date: 2/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/1/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/6/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

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

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Mark J. Gianno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark John Gianno's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark John Gianno's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1995

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/1/1995

Series 24

Date: 9/6/1995

FINRA

Current Firm

OSAIC WEALTH, 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

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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