BS
Brian D. Sullivan
OSAIC INSTITUTIONS
Lindenhurst, NY 11757
Some features on this profile are disabled
CRD#: 2734412
BS
Professional summary
Brian Dennis Sullivan, who also goes by Brian Dennis Sullivan, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Lindenhurst, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 9 firms and has passed the Series 65, Series 63, Series 62, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Dennis Sullivan
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 Brian Dennis Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Dennis Sullivan'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 20, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 151 E. Sunrise Highway, Lindenhurst, NY 11757Office #2: 151 East Sunrise Hwy, N. Lindenhurst, NY 11757RIA
BD
CRD#: 35371
Lindenhurst, NY
Current
June 20, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 151 E. Sunrise Highway, Lindenhurst, NY 11757RIA
BD
CRD#: 35371
Lindenhurst, NY
Past
September 2, 2022 - May 19, 2023
TD PRIVATE CLIENT WEALTH LLC
RIA
CRD#: 164484
Melville, NY
Past
August 11, 2022 - May 19, 2023
TD PRIVATE CLIENT WEALTH LLC
BD
CRD#: 164484
Melville, NY
Past
July 1, 2016 - July 25, 2022
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Bay Ridge, NY
Past
June 4, 2009 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BENSONHURST, NY
Past
October 5, 2006 - May 15, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BROOKLYN, NY
Past
September 5, 2006 - May 15, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BROOKLYN, NY
Past
January 3, 2005 - June 6, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MELVILLE, NY
Past
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
BD
CRD#: 127042
LAKE SUCCESS, NY
Past
March 10, 2003 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
October 25, 2002 - February 28, 2003
GRACE FINANCIAL GROUP LLC
BD
CRD#: 104133
SOUTHHAMPTON, NY
Past
February 14, 1997 - August 26, 1997
NEW WORLD SECURITIES, INC.
BD
CRD#: 14694
GARDEN CITY, NY
Past
August 23, 1996 - March 5, 1997
ISLAND SECURITIES, INC.
BD
CRD#: 6810
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 York(6/20/2023)
IAR
New York(6/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/12/2002
Limited Representative-Equity Trader ExamGeneral 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.
