BA
Brenda R. Aslyn
OSAIC INSTITUTIONS
Eagan, MN 55121
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CRD#: 2855617
BA
Professional summary
Brenda Rose Aslyn, who also goes by Brenda R Aslyn, Brenda Aslyn, Brenda Brisk, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Eagan, Minnesota.
Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brenda has worked at 12 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brenda R Aslyn | Brenda Aslyn | Brenda Brisk
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 Brenda Rose Aslyn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brenda Rose Aslyn'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
April 28, 2026 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1515 Central Parkway, Suite 180, Eagan, MN 55121Office #2: 1515 Central Parkway Suite 180, Eagan, MN 55121RIA
BD
CRD#: 35371
Eagan, MN
Current
April 28, 2026 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1515 Central Parkway, Suite 180, Eagan, MN 55121RIA
BD
CRD#: 35371
Eagan, MN
Past
February 15, 2024 - April 29, 2026
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
EDINA, MN
Past
January 8, 2024 - April 29, 2026
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
EDINA, MN
Past
December 3, 2016 - May 20, 2019
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
WOODBURY, MN
Past
April 1, 2016 - December 1, 2016
USADVISORS WEALTH MANAGEMENT, LLC
RIA
CRD#: 158108
TWO HARBORS, MN
Past
January 31, 2014 - April 28, 2016
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
TWO HARBORS, MN
Past
February 5, 2010 - May 20, 2019
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WOODBURY, MN
Past
February 10, 2009 - December 31, 2009
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
BD
CRD#: 130139
PLYMOUTH, MN
Past
January 16, 2009 - February 16, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
DULUTH, MN
Past
January 1, 2008 - January 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DULUTH, MN
Past
July 8, 2004 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
DULUTH, MN
Past
July 5, 2001 - August 10, 2004
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
October 27, 2000 - July 5, 2001
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
November 5, 1999 - November 2, 2000
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 19, 1997 - November 17, 1999
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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
IAR
Minnesota(4/28/2026)
RR
Minnesota(4/29/2026)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/29/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/5/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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#: 35371Eagan, MN 55121TRUST BUT VERIFY
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