Frank T. Marzella
OSAIC INSTITUTIONS
Chestnut Hill, MA 02467
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CRD#: 2595051
Professional summary
Frank Thomas Marzella, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Chestnut Hill, Massachusetts.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Frank has worked at 8 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.) Uber. 239 Causeway St. Boston, MA 02114. Driver. Started in 2016.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Thomas Marzella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Thomas Marzella'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®
CFP®
Start date: 2019
Experience
Current
May 26, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: South Brookline 1018 W. Roxbury Pkwy, Chestnut Hill, MA 02467Office #2: West Roxbury 1808 Centre Street, West Roxbury, MA 02132Office #3: 902 Highland Avenue, Needam Heights, MA 02494Office #4: 5 Washington Street, Wellesley, MA 02481Office #5: 201 Salem Street, Medford, MA 02155Office #6: 856 Massachusetts Avenue, Arlington, MA 02476Office #7: Medford Square 60 High Street, Medford, MA 02155Office #8: West Medford 430 High Street, Medford, MA 02155Office #9: 448 Washington Street, Wellesley, MA 02482Office #10: 196 Commercial Street, Malden, MA 02148Office #11: Coolidge Corner 1324 Beacon Street, Brookline, MA 02446Office #12: Longwood 1016 Beacon Street, Brookline, MA 02446Office #13: Washington Square 1661 Beacon Street, Brookline, MA 02445Office #14: 131 Clarendon Street, Boston, MA 02117Office #15: 2 Harvard St, Brookline, MA 02445Office #16: 31 State Street, Boston, MA 02109RIA
BD
CRD#: 35371
Chestnut Hill, MA
Current
May 2, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: South Brookline 1018 W. Roxbury Pkwy, Chestnut Hill, MA 02467Office #2: West Roxbury 1808 Centre Street, West Roxbury, MA 02132Office #3: 902 Highland Avenue, Needam Heights, MA 02494Office #4: 5 Washington Street, Wellesley, MA 02481Office #5: 201 Salem Street, Medford, MA 02155Office #6: 856 Massachusetts Avenue, Arlington, MA 02476Office #7: Medford Square 60 High Street, Medford, MA 02155Office #8: West Medford 430 High Street, Medford, MA 02155Office #9: 448 Washington Street, Wellesley, MA 02482Office #10: 196 Commercial Street, Malden, MA 02148Office #11: Coolidge Corner 1324 Beacon Street, Brookline, MA 02446Office #12: Longwood 1016 Beacon Street, Brookline, MA 02446Office #13: Washington Square 1661 Beacon Street, Brookline, MA 02445Office #14: 131 Clarendon Street, Boston, MA 02117Office #15: 2 Harvard St, Brookline, MA 02445Office #16: 31 State Street, Boston, MA 02109RIA
BD
CRD#: 35371
Chestnut Hill, MA
Past
December 16, 2009 - April 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST ROXBURY, MA
Past
December 14, 2009 - April 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST ROXBURY, MA
Past
January 15, 2004 - December 7, 2009
SSN ADVISORY, INC.
RIA
CRD#: 126090
ATTLEBORO, MA
Past
January 5, 2004 - December 7, 2009
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
ATTLEBORO, MA
Past
October 27, 2001 - December 31, 2003
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
ATTLEBORO, MA
Past
September 21, 2001 - December 31, 2003
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
May 29, 1998 - October 4, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 18, 1995 - June 16, 1998
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
April 5, 1995 - August 2, 1995
A.S. GOLDMEN & CO., INC.
BD
CRD#: 23180
RED BANK, NJ
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(8/27/2018)
RR
Arizona(5/16/2019)
RR
California(2/4/2021)
RR
Florida(11/8/2016)
RR
Illinois(1/2/2024)
RR
Indiana(12/11/2024)
RR
Maine(1/6/2025)
RR
Massachusetts(5/25/2016)
IAR
Massachusetts(5/26/2016)
RR
Michigan(1/2/2025)
RR
Missouri(1/3/2025)
RR
New Hampshire(5/8/2023)
RR
New Jersey(1/12/2018)
RR
New York(8/24/2016)
RR
Pennsylvania(11/5/2021)
RR
Vermont(5/2/2025)
RR
Virginia(6/28/2021)
RR
Washington(1/2/2025)
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Chestnut Hill, MA 02467TRUST BUT VERIFY
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