Anthony M. D'auria
OSAIC INSTITUTIONS | Financial Advisor
bronx, NY
Some features on this profile are disabled
CRD#: 2997866
Professional summary
Anthony Michael D'auria, who also goes by Anthony M D Auria, Anthony Michael D Auria, Anthony M D'auria, Anthony M Dauria, Anthony Michael Dauria, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bronx, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Anthony has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
What are your service offerings?
Business Retirement Plans
Investment Management
Retirement Income Strategies
Are you a "fiduciary"?
Yes
Aliases
Anthony M D Auria | Anthony Michael D Auria | Anthony M D'auria | Anthony M Dauria | Anthony Michael Dauria
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 Anthony Michael D'auria's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony Michael D'auria'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
July 25, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #2: 300 Executive Dr Suite 350, West Orange, NJ 07052RIA
BD
CRD#: 35371
bronx, NY
Current
July 25, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 300 Executive Dr Suite 350, West Orange, NJ 07052RIA
BD
CRD#: 35371
West Orange, NJ
Past
June 17, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
West Orange, NJ
Past
June 17, 2020 - August 11, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
West Orange, NJ
Past
November 2, 2006 - June 19, 2020
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WEST ORANGE, NJ
Past
April 25, 2006 - June 19, 2020
OSAIC WEALTH, INC.
BD
CRD#: 23131
WEST ORANGE, NJ
Past
October 20, 2004 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
YONKERS, NY
Past
October 20, 2004 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 29, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
WHITE PLAINS, NY
Past
August 17, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
September 19, 2000 - August 25, 2004
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
April 12, 1999 - October 23, 2000
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
March 5, 1998 - October 21, 1998
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
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
Connecticut(7/25/2025)
RR
Florida(7/25/2025)
RR
Iowa(7/25/2025)
RR
Massachusetts(7/25/2025)
RR
New Jersey(7/25/2025)
IAR
New Jersey(7/28/2025)
RR
New York(7/25/2025)
IAR
New York(7/25/2025)
RR
Pennsylvania(7/25/2025)
RR
South Carolina(7/25/2025)
RR
Virginia(7/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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 | 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.
Company Information
OSAIC INSTITUTIONS, INC.
Financial AdvisorCRD#: 35371Bronx, NYTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
