CJ
Curtis C. Jones
OSAIC INSTITUTIONS
Waltham, MA 02452
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CRD#: 4264012
CJ
Professional summary
Curtis Christopher Jones, who also goes by Curtis C Jones, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Waltham, Massachusetts.
Curtis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Curtis has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Curtis C Jones
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.
JACONN CORP. REAL ESTATE DEVELOPMENT. INVESTMENT RELATED-YES. POSITION- PRESIDENT. STARTED 12/4/12. 10 HOURS PER WEEK. COMPENSATION-100% OF PROFITS. INVESTING PERSONAL MONEY.
CRS (Client Relationship Summary) - RIA
Click below to view Curtis Christopher Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Curtis Christopher Jones'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
September 6, 2006 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 860 Lexington Street, Waltham, MA 02452Office #2: 285 Highland Avenue, Somerville, MA 02143Office #3: 1310 Cambridge St, Cambridge, MA 02139Office #4: 395 Trapelo Road, Belmont, MA 02478Office #5: 243 Salem St, Medford, MA 02153Office #6: 9 Playstead Rd. West Medford Banking Center, Medford, MA 02155Office #7: 360 Broadway, Chelsea, MA 02150Office #8: 237 Lexington Street , Woburn, MA 01801Office #9: 292 Cambridge Street, Cambridge, MA 02141Office #10: 105 Broadway, Arlington, MA 02474Office #11: 98 Pleasant Street, Malden, MA 02148RIA
BD
CRD#: 35371
Waltham, MA
Current
September 5, 2006 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 860 Lexington Street, Waltham, MA 02452Office #2: 285 Highland Avenue, Somerville, MA 02143Office #3: 1310 Cambridge St, Cambridge, MA 02139Office #4: 395 Trapelo Road, Belmont, MA 02478Office #5: 243 Salem St, Medford, MA 02153Office #6: 9 Playstead Rd. West Medford Banking Center, Medford, MA 02155Office #7: 360 Broadway, Chelsea, MA 02150Office #8: 237 Lexington Street , Woburn, MA 01801Office #9: 292 Cambridge Street, Cambridge, MA 02141Office #10: 105 Broadway, Arlington, MA 02474Office #11: 98 Pleasant Street, Malden, MA 02148RIA
BD
CRD#: 35371
Waltham, MA
Past
October 28, 2004 - August 22, 2006
IFMG SECURITIES, INC.
RIA
CRD#: 14416
SANDWICH, MA
Past
October 19, 2004 - August 22, 2006
IFMG SECURITIES, INC.
BD
CRD#: 14416
SANDWICH, MA
Past
November 4, 2003 - October 26, 2004
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
PLYMOUTH, MA
Past
October 8, 2003 - October 26, 2004
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
May 29, 2001 - January 6, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
November 20, 2000 - May 17, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Arizona(11/12/2020)
RR
Florida(9/5/2006)
RR
Maine(8/24/2015)
RR
Massachusetts(9/5/2006)
IAR
Massachusetts(9/6/2006)
RR
New Hampshire(9/5/2006)
RR
New Mexico(11/4/2017)
RR
New York(9/5/2006)
RR
North Carolina(9/6/2006)
RR
Puerto Rico(4/2/2015)
RR
Rhode Island(9/5/2006)
RR
Tennessee(1/2/2025)
RR
Texas(11/7/2014)
RR
Virginia(11/7/2014)
Exams
State Security Law Exam
General Industry/Product 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#: 35371Waltham, MA 02452TRUST BUT VERIFY
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