Michael J. Harrington

OSAIC WEALTH

Warwick, RI 02886

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CRD#: 2951853

Professional summary

Michael Joseph Harrington JR, who also goes by Michael J Harrington, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Warwick, Rhode Island.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J Harrington

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. VOLLEYBALL COACH AT BISHOP HENDRICKEN HIGH SCHOOL. THIS IS A NON-INVESTMENT RELATED BUSINESS. THE ADDRESS IS 2615 WARWICK AVE WARWICK, RI 02889. I BEGAN COACHING IN THE FALL OF 1993. THE POSITION REQUIRES APPROXIMATELY 80 HOURS PER MONTH DURING THE THREE MONTH SEASON. THE MAJORITY(90%)OF THESE HOURS ARE AFTER SECURITIES TRADING HOURS. MY DUTIES CONSIST OF HOLDING TRYOUTS, PLANNING DAILY PRACTICES, MOTIVATING THE TEAM MEMBERS AND OVERALL SUPERVISION OF THE PLAYERS DURING PRACTICES AND GAMES.... 2. INSURANCE BROKER FOR HEALTH WITH BCBS OF RI AT 444 WESTMINSTER STREET PROVIDENCE, RI 02903-3279 NATURE OF ACTIVITY: GROUP HEALTH INSURANCE. POSITION/TITLE: BROKER START DATE MARCH 2001 APPROXIMATE HOURS PER MONTH= 1 PER MONTH DURING REGULAR SECURITIES HOURS= 0 PER MONTH... 3. Coach & Director: South County Junior Volleyball Club 75 Eastwick Rd North Kingstown, RI 02852, 10/1/2015, 30 hrs mo, 0 trading. 4. INSURANCE SALES POSITION: agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2001 ADDRESS: 935 Jefferson Blvd, Suite 2000, Warwick RI 02886, United States DESCRIPTION: provide quotes and applications for group health insurance 5. INDEPENDENCE FINANCIAL PARTNERS POSITION: Investment Representative NATURE: A partnership used as a marketing name for activities associated with my Osiac OSJ INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/1997 ADDRESS: 935 Jefferson Blvd, 2000, Warwick RI 02886, United States DESCRIPTION: Investment Rep

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Harrington JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Harrington JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 935 Jefferson Boulevard Suite 2000, Warwick, RI 02886

RIA

CRD#: 23131

Warwick, RI

Current

November 2, 2018 - Present

OSAIC WEALTH, INC.

Office #1: 935 Jefferson Boulevard Suite 2000, Warwick, RI 02886

RIA

CRD#: 23131

Warwick, RI

Past

January 1, 2001 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

WARWICK, RI

Past

January 15, 1998 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

WARWICK, RI

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(8/16/2021)

California
(5/15/2025)

Connecticut
(11/2/2018)

Florida
(11/2/2018)

Illinois
(10/15/2021)

Louisiana
(3/11/2020)

Massachusetts
(11/2/2018)

IAR

Massachusetts
(6/24/2024)

Missouri
(11/2/2018)

New Hampshire
(10/17/2019)

New Jersey
(8/13/2020)

New York
(3/16/2022)

North Carolina
(2/6/2023)

Rhode Island
(11/2/2018)

IAR

Rhode Island
(11/2/2018)

South Carolina
(10/18/2019)

Tennessee
(3/7/2023)

Virginia
(11/2/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/13/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Michael J. Harrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Harrington JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Harrington JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/1999

Series 63

Date: 12/15/1997

SIE

Date: 10/1/2018

Series 6

Date: 1/13/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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