SK
Sean M. Knowles
OSAIC INSTITUTIONS
New York, NY 10003
Some features on this profile are disabled
CRD#: 2843779
SK
Professional summary
Sean Michael Knowles is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New York, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Sean has worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Sean Michael Knowles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Knowles'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
August 11, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10 East 14th Street, New York, NY 10003RIA
BD
CRD#: 35371
New York, NY
Current
June 5, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 10 East 14th Street, New York, NY 10003RIA
BD
CRD#: 35371
New York, NY
Past
March 3, 2023 - May 17, 2023
CATHAY SECURITIES, INC.
BD
CRD#: 21821
NEW YORK, NY
Past
August 9, 2018 - April 19, 2021
AMERICAN TRUST INVESTMENT SERVICES, INC.
BD
CRD#: 3001
Coconut Creek, FL
Past
April 17, 2013 - December 1, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BROOKLYN, NY
Past
March 6, 2013 - December 1, 2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BROOKLYN, NY
Past
February 7, 2007 - March 8, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BROOKLYN, NY
Past
July 24, 2006 - March 8, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BROOKLYN, NY
Past
October 5, 2004 - January 31, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
August 3, 2004 - September 22, 2004
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
October 12, 2001 - September 16, 2002
BERNARD HEROLD & CO., INC.
BD
CRD#: 6193
NEW YORK, NY
Past
February 6, 2001 - June 19, 2001
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 3, 2000 - May 22, 2000
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
May 8, 1999 - December 31, 1999
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
November 28, 1998 - November 30, 1998
J. P. GIBBONS & CO., INC.
BD
CRD#: 38850
NEW YORK, NY
Past
July 24, 1997 - September 3, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
BD
CRD#: 39469
PORT WASHINGTON, NY
Past
May 5, 1997 - July 8, 1997
MAIDSTONE FINANCIAL, INC.
BD
CRD#: 31804
NEW YORK, NY
Past
April 17, 1997 - May 6, 1997
D.L. CROMWELL INVESTMENTS, INC.
BD
CRD#: 37730
BOCA RATON, FL
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
Alaska(4/3/2025)
RR
California(6/28/2023)
RR
District of Columbia(7/6/2023)
RR
Florida(6/28/2023)
RR
Georgia(5/6/2025)
RR
Illinois(7/3/2023)
RR
Maryland(5/13/2025)
RR
New Jersey(6/5/2023)
RR
New York(6/5/2023)
IAR
New York(8/11/2023)
RR
North Carolina(8/12/2024)
RR
Pennsylvania(9/25/2025)
RR
Vermont(8/25/2023)
RR
Virginia(5/3/2024)
RR
Washington(2/23/2024)
Exams
State Security Law Exam
State Security Law 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.
