GA
George T. Avila
OSAIC INSTITUTIONS
Brea, CA 92821
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CRD#: 2924574
GA
Professional summary
George Thomas Avila is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Brea, California.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. George has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31 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.
(1) 7/24/2018 - AmeriEstate Legal Plan - Investment Related - living trusts - Start Date: 01/01/2011 - 1 Hour Per Month During Securities Trading.Referral Fee. Discuss trusts.
CRS (Client Relationship Summary) - RIA
Click below to view George Thomas Avila's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Thomas Avila'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
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2435 E. Imperial Hwy., Ste. F, Brea, CA 92821RIA
BD
CRD#: 35371
Brea, CA
Current
May 4, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2435 E. Imperial Hwy., Ste. F, Brea, CA 92821RIA
BD
CRD#: 35371
Brea, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BREA, CA
Past
June 20, 2011 - May 18, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
BREA, CA
Past
May 18, 2010 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
ORANGE, CA
Past
May 14, 2010 - June 21, 2011
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
ORANGE, CA
Past
July 6, 2006 - December 31, 2007
COURTLANDT WEALTH MANAGEMENT
RIA
CRD#: 136639
IRVINE, CA
Past
July 6, 2006 - May 12, 2010
COURTLANDT SECURITIES CORPORATION
BD
CRD#: 137356
NEWPORT BEACH, CA
Past
July 13, 2004 - June 29, 2006
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
MORENO VALLEY, CA
Past
July 13, 2004 - June 29, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
MORENO VALLEY, CA
Past
May 17, 2004 - June 25, 2004
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
BANNING, CA
Past
May 14, 2004 - June 25, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
March 28, 2002 - May 24, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
March 27, 2002 - April 1, 2002
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
MURRIETA, CA
Past
April 4, 2000 - May 29, 2002
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
August 17, 1999 - November 2, 1999
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
December 7, 1998 - July 30, 1999
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 26, 1998 - July 29, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 26, 1998 - July 29, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
January 30, 1998 - February 4, 1998
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, 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
Arizona(5/4/2022)
RR
Arkansas(5/4/2022)
RR
California(5/4/2022)
IAR
California(5/4/2022)
RR
Georgia(5/4/2022)
RR
Idaho(5/4/2022)
RR
Missouri(5/4/2022)
RR
Nevada(5/4/2022)
RR
South Carolina(10/9/2025)
RR
Washington(5/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
