MT
Margaret R. Taylor
OSAIC INSTITUTIONS
Newport News, VA 23607
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CRD#: 4380045
MT
Professional summary
Margaret Ruth Taylor, who also goes by Margaret Ruth Washington, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Newport News, Virginia.
Margaret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Margaret has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Margaret Ruth Washington
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.) Grace Financial LLC. Yes, investment related. Educational/Informational. Owner. Started May 2025.
CRS (Client Relationship Summary) - RIA
Click below to view Margaret Ruth Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Margaret Ruth Taylor'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 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3711 Huntington Avenue, Newport News, VA 23607Office #2: One Bayport Way, Newport News, VA 23606Office #3: 5028 George Washington Memorial Hwy, Yorktown, VA 23692Office #4: 1290 Smithfield Plaza, Smithfield, VA 23430Office #5: 3205 Virginia Beach Blvd., Virginia Beach, VA 23452RIA
BD
CRD#: 35371
Newport News, VA
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3711 Huntington Avenue, Newport News, VA 23607Office #2: One Bayport Way, Newport News, VA 23606Office #3: 5028 George Washington Memorial Hwy, Yorktown, VA 23692Office #4: 1290 Smithfield Plaza, Smithfield, VA 23430Office #5: 3205 Virginia Beach Blvd., Virginia Beach, VA 23452RIA
BD
CRD#: 35371
Newport News, VA
Past
May 23, 2005 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
NEWPORT NEWS, VA
Past
May 23, 2005 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
NEWPORT NEWS, VA
Past
June 8, 2004 - May 2, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
August 12, 2002 - June 9, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
POQUISON, VA
Past
June 15, 2002 - June 9, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 21, 2001 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
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(11/30/2023)
RR
Colorado(8/22/2025)
RR
Florida(11/30/2023)
RR
Illinois(11/30/2023)
RR
Maryland(11/30/2023)
RR
Minnesota(11/30/2023)
RR
New Hampshire(11/30/2023)
RR
New Jersey(11/30/2023)
RR
New Mexico(11/30/2023)
RR
North Carolina(11/30/2023)
RR
Pennsylvania(11/30/2023)
RR
Tennessee(3/21/2024)
RR
Texas(11/30/2023)
RR
Utah(5/12/2025)
RR
Virginia(11/30/2023)
IAR
Virginia(11/30/2023)
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#: 35371Newport News, VA 23607TRUST BUT VERIFY
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