Christina L. Ciccone
Professional summary
Christina Louise Marie Ciccone, who also goes by Christina Louise Marie Peltier, is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and OSAIC INSTITUTIONS, INC. located in Meriden, Connecticut.
Christina is registered as a RR (Registered Representative) and started their career in finance in 2003. Christina has worked at 20 firms and has passed the Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christina Louise Marie Ciccone's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2018 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255August 12, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 538 Preston Avenue, Meriden, CT 06450-4858May 27, 2020 - September 16, 2020
INVESTACORP, INC.
May 27, 2020 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
May 27, 2020 - November 23, 2020
SECURITIES SERVICE NETWORK, LLC
May 27, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
May 27, 2020 - June 24, 2024
LADENBURG THALMANN & CO. INC.
May 27, 2020 - August 23, 2024
TRIAD ADVISORS LLC
December 20, 2018 - September 1, 2023
OSAIC SERVICES, INC.
December 20, 2018 - November 3, 2023
FSC SECURITIES CORPORATION
December 20, 2018 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
May 29, 2014 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
April 5, 2012 - November 2, 2018
SIGNATOR INVESTORS, INC.
March 24, 2011 - March 28, 2012
BROKER DEALER FINANCIAL SERVICES CORP.
June 13, 2005 - February 21, 2008
LIBERTY LIFE DISTRIBUTORS LLC
June 13, 2005 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
June 9, 2004 - June 1, 2005
WALNUT STREET SECURITIES, INC.
June 9, 2004 - June 1, 2005
NEW ENGLAND SECURITIES
June 9, 2004 - June 1, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 9, 2004 - June 1, 2005
MSI FINANCIAL SERVICES, INC.
May 12, 2003 - June 17, 2004
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
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
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