FD
Frank Deluca
OSAIC INSTITUTIONS
Somerset, NJ 08873
Some features on this profile are disabled
CRD#: 2730827
FD
Professional summary
Frank Deluca is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Somerset, New Jersey.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Frank has worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, Series 7 and Series 6 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Deluca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Deluca'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
March 21, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 780 Easton Ave., Somerset, NJ 08873Office #2: 263 Us Highway 22 East, Green Brook, NJ 08812RIA
BD
CRD#: 35371
Somerset, NJ
Current
March 21, 2024 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 780 Easton Ave., Somerset, NJ 08873Office #2: 263 Us Highway 22 East, Green Brook, NJ 08812RIA
BD
CRD#: 35371
Somerset, NJ
Past
July 5, 2019 - March 20, 2024
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
BRIDGEWATER, NJ
Past
July 1, 2019 - March 20, 2024
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
BRIDGEWATER, NJ
Past
May 15, 2019 - June 14, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Basking Ridge, NJ
Past
April 19, 2017 - November 19, 2018
BEACON TRUST
RIA
CRD#: 226547
MORRISTOWN, NJ
Past
October 23, 2009 - June 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SHORT HILLS, NJ
Past
April 28, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SUMMIT, NJ
Past
May 13, 2005 - April 17, 2006
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CEDAR GROVE, NJ
Past
July 9, 1998 - March 7, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
June 11, 1996 - January 3, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
June 11, 1996 - January 3, 1998
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
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
California(3/21/2024)
RR
Connecticut(3/21/2024)
RR
Delaware(4/4/2024)
RR
Florida(3/22/2024)
RR
Georgia(3/25/2024)
RR
Maryland(3/28/2024)
RR
Massachusetts(3/22/2024)
RR
Michigan(3/25/2024)
RR
Missouri(3/21/2024)
RR
New Jersey(3/21/2024)
IAR
New Jersey(3/21/2024)
RR
New Mexico(3/21/2024)
RR
New York(3/21/2024)
RR
North Carolina(3/21/2024)
RR
Ohio(3/21/2024)
RR
Pennsylvania(3/22/2024)
RR
South Carolina(3/26/2024)
IAR
Texas(3/21/2024)
RR
Texas(3/23/2024)
RR
Virginia(3/21/2024)
RR
West Virginia(3/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/14/2019
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 35371Somerset, NJ 08873TRUST BUT VERIFY
Monitor Frank Deluca
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
