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Rafiq A. Wiley
OSAIC INSTITUTIONS
Studio City, CA 91604
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CRD#: 3213815
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Professional summary
Rafiq Austin Wiley is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Studio City, California.
Rafiq is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Rafiq has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 53 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Rafiq Austin Wiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafiq Austin Wiley'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
March 7, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 12198 Ventura Boulevard #208, Studio City, CA 91604Office #2: 159 W. Manchester Blvd., Inglewood, CA 90301RIA
BD
CRD#: 35371
Studio City, CA
Current
September 14, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 12198 Ventura Boulevard #208, Studio City, CA 91604RIA
BD
CRD#: 35371
Studio City, CA
Past
May 13, 2019 - February 11, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LOS ANGELES, CA
Past
March 7, 2014 - May 20, 2019
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
NORTH HOLLYWOOD, CA
Past
October 12, 2012 - December 10, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
PASADENA, CA
Past
January 20, 2010 - August 20, 2012
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NORWALK, CT
Past
January 20, 2010 - August 20, 2012
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NORWALK, CT
Past
April 24, 2008 - December 31, 2009
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
STAMFORD, CT
Past
February 20, 2007 - May 5, 2008
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NORWALK, CT
Past
February 20, 2007 - May 5, 2008
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NORWALK, CT
Past
April 11, 2006 - February 12, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HAMDEN, CT
Past
August 22, 2005 - February 12, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HAMDEN, CT
Past
February 10, 2004 - July 1, 2005
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
September 29, 2003 - January 27, 2004
TOUCHSTONE SECURITIES, LLC
BD
CRD#: 1526
CINCINNATI, OH
Past
July 11, 2001 - January 30, 2003
SAGE DISTRIBUTORS, INC.
BD
CRD#: 44831
STAMFORD, CT
Past
May 25, 1999 - May 9, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
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
California(9/14/2020)
IAR
California(3/7/2023)
RR
Colorado(9/14/2020)
RR
Connecticut(9/14/2020)
RR
Maryland(9/14/2020)
RR
New York(9/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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 | 9 |
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.
