SP
Steve R. Palmer
OSAIC INSTITUTIONS
Walpole, NH 03608
Some features on this profile are disabled
CRD#: 2693018
SP
Professional summary
Steve R Palmer is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Walpole, New Hampshire.
Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steve has worked at 11 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 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.
1.) Secondary trustee to family member. Started Oct 2022. 0 hours per month. Appointed as the secondary trustee for aunt and uncle. Will only become active if both aunt and uncle deceased and cousin and cousin in law that are primary trustees are deceased. 2.) NH Trust. Yes, investment related. Appox 10 hours per month during trading hours. Relationship manager. Salary employee. 3.) Families in Transition. Not investment related. Nonprofit looking to prevent homelessness. Approx 3 hours petr month not during trading hours. Board member.
CRS (Client Relationship Summary) - RIA
Click below to view Steve R Palmer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steve R Palmer'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
February 8, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11 Westminster Street, Walpole, NH 03608Office #2: 89 North Main Street, Concord, NH 03302RIA
BD
CRD#: 35371
Walpole, NH
Current
January 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11 Westminster Street, Walpole, NH 03608Office #2: 89 North Main Street, Concord, NH 03302RIA
BD
CRD#: 35371
Walpole, NH
Past
March 24, 2017 - January 9, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LA VISTA, NE
Past
March 24, 2017 - January 9, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
September 7, 2016 - November 15, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MANCHESTER, NH
Past
September 7, 2016 - November 15, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MANCHESTER, NH
Past
June 30, 2016 - September 7, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
June 13, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
MANCHESTER, NH
Past
May 30, 2014 - July 26, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
MANCHESTER, NH
Past
May 30, 2014 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MANCHESTER, NH
Past
January 4, 2011 - June 13, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
MANCHESTER, NH
Past
June 15, 2010 - June 13, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
MANCHESTER, NH
Past
July 9, 2009 - June 7, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BEDFORD, NH
Past
October 19, 2004 - May 8, 2009
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
NASHUA, NH
Past
July 14, 2000 - October 18, 2004
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
February 15, 1996 - June 19, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 15, 1996 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
New Hampshire(1/30/2023)
IAR
New Hampshire(2/8/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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 | 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.
