JK
Jeffrey S. Krall
OSAIC INSTITUTIONS
Palmyra, PA 17078
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CRD#: 2651173
JK
Professional summary
Jeffrey Scott Krall, who also goes by Jeff S Krall, Jeffrey S Krall, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Palmyra, Pennsylvania.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jeffrey has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff S Krall | Jeffrey S Krall
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) - RIA
Click below to view Jeffrey Scott Krall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Scott Krall'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
October 3, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 28 W Main Street, Palmyra, PA 17078RIA
BD
CRD#: 35371
Palmyra, PA
Current
October 3, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 28 W Main Street, Palmyra, PA 17078RIA
BD
CRD#: 35371
Palmyra, PA
Past
December 18, 2017 - September 30, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PALMYRA, PA
Past
December 15, 2017 - September 30, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PALMYRA, PA
Past
May 31, 2016 - December 18, 2017
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
Palmyra, PA
Past
May 31, 2016 - December 15, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
PALMYRA, PA
Past
May 21, 2015 - May 31, 2016
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Palmyra, PA
Past
May 21, 2015 - May 31, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Palmyra, PA
Past
January 2, 2009 - May 22, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
PALMYRA, PA
Past
June 4, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
PALMYRA, PA
Past
June 4, 2008 - May 22, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
PALMYRA, PA
Past
January 22, 2008 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
PALMYRA, PA
Past
February 9, 2005 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PALMYRA, PA
Past
July 28, 2004 - February 7, 2005
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
May 1, 2003 - July 29, 2004
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
November 26, 1996 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
BD
CRD#: 17531
BALTIMORE, MD
Past
December 15, 1995 - October 22, 1996
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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
Colorado(10/3/2022)
RR
Florida(10/3/2022)
RR
Illinois(10/3/2022)
RR
Maryland(10/3/2022)
RR
New Jersey(10/3/2022)
RR
New York(10/3/2022)
RR
North Carolina(10/3/2022)
RR
Pennsylvania(10/3/2022)
IAR
Pennsylvania(10/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | 9 |
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#: 35371Palmyra, PA 17078TRUST BUT VERIFY
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