Anthony Michael D'auria
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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Management
- Retirement Planning
Specializations
Other Aliases
Anthony M D Auria, Anthony Michael D Auria, Anthony M D'auria, Anthony M Dauria, Anthony Michael Dauria
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
Contact Information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858Phone Number
(203) 599-6000Established
Connecticut since 04/07/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,839SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| REID, SHANNON | DIRECTOR | 4815189 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory Assets Under Management
Total Number of Accounts
11,892AUM (Assets Under Management)
$6,494,001,878Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
State Registrations and Notice Filings
(7/25/2025)
(7/25/2025)
(7/25/2025)
(7/25/2025)
(7/25/2025)
(7/28/2025)
(7/25/2025)
(7/25/2025)
(7/25/2025)
(7/25/2025)
(7/25/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 2001About the Series 26 examSRO Registrations
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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).
Services Offered by Anthony
- Investment Management
- Retirement Planning
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