Gregory A. Cornick

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CRD#: 3132991

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gregory Allen Cornick, who also goes by Greg Cornick, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 2000. Gregory had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 24 and Series 27 exams.

Aliases

Greg Cornick

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 21, 2023 - September 18, 2026

OSAIC INSTITUTIONS, INC.

CRD#: 35371

MERIDEN, CT

Past

March 14, 2023 - December 16, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

HOLBROOK, NY

Past

January 8, 2021 - August 19, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 8, 2021 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

April 3, 2020 - January 8, 2024

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

April 3, 2020 - March 25, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

April 3, 2020 - September 18, 2026

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 3, 2020 - September 18, 2026

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

May 26, 2015 - April 13, 2020

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

February 29, 2000 - November 12, 2001

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

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 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)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

What does exam status mean?

State Security Law Exam

Series 66

Status Unavailable

Passed: 1/7/2026

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 12/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Status Unavailable

Passed: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 7/6/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 10/26/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 8/10/2020

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Status Unavailable

Passed: 5/26/2015

Financial and Operations Principal Examination

Current Firm

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)

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

1,839

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

ADV 2A (3/31/2026)

ADV WRAP APPENDIX - AMP (3/31/2026)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2026)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2026)

ADV WRAP APPENDIX - UMA (3/31/2026)

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	11,892
AUM (Assets Under Management)	$ 6,494,001,878

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Gregory A. Cornick

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

TRIAD ADVISORS LLC

FSC SECURITIES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

OSAIC SERVICES, INC.

LPL FINANCIAL LLC

ROBERTSON STEPHENS, INC.

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Passed: 1/7/2026

Series 63

Passed: 12/28/2000

Series 99TO

Passed: 1/2/2023

Series 7TO

Passed: 7/6/2020

SIE

Passed: 10/1/2018

Series 7

Passed: 10/26/1998

Series 24

Passed: 8/10/2020

Series 27

Passed: 5/26/2015

Current Firm

OSAIC INSTITUTIONS, 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

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

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