PV
Paul R. Vegiard
OSAIC INSTITUTIONS
Ware, MA 01080
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CRD#: 2623795
PV
Professional summary
Paul Richard Vegiard Jr, who also goes by Paul Richard Vegiard Jr, Paul Richard Vegiard Jr., Paul Richard Vegiard, Paul R Vegiard, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Ware, Massachusetts.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Paul has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Richard Vegiard Jr | Paul Richard Vegiard Jr. | Paul Richard Vegiard | Paul R Vegiard
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.) Monson Savings Bank. Yes, investment related. Banking. Started Sept 2019. Financial Advisor at the bank.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Richard Vegiard Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Richard Vegiard 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
June 4, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 136 West Street, Ware, MA 01080Office #2: 61 North Main Street, East Longmeadow, MA 01028Office #3: 146 Main Street, Monson, MA 01057Office #4: 15 Somers Road, Hampden, MA 01036Office #5: 100 Post Office Park, Wilbraham, MA 01095RIA
BD
CRD#: 35371
Ware, MA
Current
June 4, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 136 West Street, Ware, MA 01080Office #2: 61 North Main Street, East Longmeadow, MA 01028Office #3: 146 Main Street, Monson, MA 01057Office #4: 15 Somers Road, Hampden, MA 01036Office #5: 100 Post Office Park, Wilbraham, MA 01095RIA
BD
CRD#: 35371
Ware, MA
Past
March 31, 2016 - June 8, 2018
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
ENFIELD, CT
Past
March 31, 2016 - June 8, 2018
SANTANDER SECURITIES LLC
BD
CRD#: 41791
ENFIELD, CT
Past
November 16, 2015 - February 12, 2016
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
MANCHESTER, CT
Past
December 11, 2013 - September 8, 2015
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
VERNON, CT
Past
November 14, 2012 - September 8, 2015
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
VERNON, CT
Past
September 19, 2012 - November 12, 2012
SANTANDER SECURITIES LLC
BD
CRD#: 41791
ENFIELD, CT
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
SPENCER, MA
Past
June 18, 2007 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MANCHESTER, CT
Past
May 2, 2007 - June 11, 2007
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
August 14, 1995 - January 29, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 14, 1995 - January 29, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(8/19/2021)
RR
Arkansas(12/13/2023)
RR
Connecticut(6/4/2018)
IAR
Connecticut(6/4/2018)
RR
Florida(6/4/2018)
RR
Massachusetts(6/4/2018)
IAR
Massachusetts(10/2/2019)
RR
New Hampshire(3/23/2020)
RR
New Jersey(1/28/2025)
RR
Rhode Island(6/4/2018)
RR
Texas(2/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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.
