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Frederick C. Brose
OSAIC INSTITUTIONS
Worcester, MA 01604
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CRD#: 4157818
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Professional summary
Frederick C. Brose, who also goes by Eric Brose, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Worcester, Massachusetts.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Frederick has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Brose
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.)(ACTIVITY) ALL SAINTS CHURCH, WORCESTER, MA. CHAIR, INVESTMENTS COMMITTEE. IS INVESTMENT RELATED. INVOLVED 1 HOUR PER MONTH. NO COMPENSATION, STARTED 2003 2.) TOWN OF BOYLSTON FINANCE COMMITTEE, BOYLSTON, MA. REVIEW BUDGETS AND MAKE RECOMMENDATIONS TO SELECTMEN FOR ANNUAL REPORT. NOT INVESTMENT RELATED. COMMITTEE MEMBER. STARTED 2002. APPROX 2 HOURS PER MONTH. NONE DURING TRADING HOURS. ATTEND MEETINGS, REVIEW DATA. SERVICE TO THE TOWN. 3.) Icon Museum & Study Center. Museum, non profit. Treasurer ans chair of the investment committee. Staring Dec 2024. Approx 3 hours per month. 4.) Music Worcester. Not investment related. Music/Dance Presenting Organization, non profit. Nov 2024. Board position. Chair of the investment committee. Approx 5 hours per month. 5.) C RICHARD AND OLIVE J BROSE HIE HILL FOUNDATION BOYLSTON, MA 01505. CHARITABLE FOUNDATION (FAMILY) TO MANAGE ASSETS AND DISTRIBUTE GIFTS TO CHARITIES OVER TIME. PRESIDENT/TREASURER. STARTED IN 2008. APPROX 8 HOURS PER MONTH - NONE DURING TRADING HOURS. RECEIVE A STIPEND AS PRESIDENT.
CRS (Client Relationship Summary) - RIA
Click below to view Frederick C. Brose's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick C. Brose'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
November 15, 2012 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 465 Shrewsbury St, Worcester, MA 01604Office #2: 9 Leominster Connector, Leominster, MA 01453Office #3: 56 Common Street, Barre, MA 01005RIA
BD
CRD#: 35371
Worcester, MA
Current
September 25, 2012 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 465 Shrewsbury St, Worcester, MA 01604Office #2: 9 Leominster Connector, Leominster, MA 01453Office #3: 56 Common Street, Barre, MA 01005RIA
BD
CRD#: 35371
Worcester, MA
Past
May 27, 2008 - September 18, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
WESTBORO, MA
Past
May 27, 2008 - September 18, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBORO, MA
Past
January 12, 2004 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
NORTHBORO, MA
Past
January 9, 2004 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
NORTHBORO, MA
Past
July 23, 2003 - January 29, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
WORCESTER, MA
Past
September 17, 2002 - January 29, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
May 15, 2000 - June 19, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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(3/22/2019)
RR
Florida(9/25/2012)
RR
Maine(10/5/2016)
RR
Massachusetts(9/25/2012)
IAR
Massachusetts(11/15/2012)
RR
New Hampshire(11/10/2014)
RR
New York(6/28/2017)
RR
Rhode Island(9/25/2012)
RR
Texas(6/4/2018)
RR
Virginia(4/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
CRD#: 35371Worcester, MA 01604TRUST BUT VERIFY
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