JH
Jodee L. Harris
OSAIC INSTITUTIONS
New Alexandria, PA 15670
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CRD#: 4509033
JH
Professional summary
Jodee Lynn Harris, who also goes by Jodee Lynn Broglio, Jodee Lynn Harris-anke, Jodee Harris-miller, Jodee Lynn Miller, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in New Alexandria, Pennsylvania.
Jodee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jodee has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jodee Lynn Broglio | Jodee Lynn Harris-Anke | Jodee Harris-Miller | Jodee Lynn Miller
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.)First Commonwealth Bank Trust Division. Yes, investment related. Approx 8 hours per month during trading hours.TRUST SERVICES AND PRODUCTS OFFERED THROUGH FIRST COMMONWEALTH TRUST DEPARTMENT 2.) Derry Area Class of 88 Reunion. Plan and solicit donations to reunion events. Reunion coordinator. Started in 2012. Approx 2 hours per month. 0 hours during trading hours. Plan events/fundraising activities. 3.) LulaPi LLC Route 982 Derry, PA 15627. Not Investment related. Online/inhome clothing sales. Member of LLC, part owner. Starting in 8/2016. Approx 25 hours per month. 0 during trading hours. Ordering product, posting photographs on line, hosting parties. 4.) Your Hero's Journey. Vacation/travel planning. Not investment related. Owner. Started March 2023. Approx 10 hours per month not during trading hours. Assist clients in booking vacations.
CRS (Client Relationship Summary) - RIA
Click below to view Jodee Lynn Harris's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jodee Lynn Harris'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
October 14, 2015 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8291 State Route 22, New Alexandria, PA 15670Office #2: 1506 Route 30, Ligonier, PA 15658Office #3: 2501 Sharky's Drive, Latrobe, PA 15650RIA
BD
CRD#: 35371
New Alexandria, PA
Current
October 14, 2015 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8291 State Route 22, New Alexandria, PA 15670Office #2: 1506 Route 30, Ligonier, PA 15658Office #3: 2501 Sharky's Drive, Latrobe, PA 15650RIA
BD
CRD#: 35371
New Alexandria, PA
Past
June 7, 2010 - October 16, 2015
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
BLAIRSVILLE, PA
Past
May 28, 2010 - October 16, 2015
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BLAIRSVILLE, PA
Past
May 14, 2007 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
GREENSBURG, PA
Past
May 10, 2007 - June 2, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
GREENSBURG, PA
Past
March 9, 2005 - April 20, 2007
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
MURRYSVILLE, PA
Past
April 21, 2004 - January 31, 2005
FINANCIAL FORESIGHT GROUP, INC.
RIA
CRD#: 122226
PITTSBURGH, PA
Past
March 31, 2004 - January 11, 2005
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 6, 2002 - April 8, 2003
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
Florida(10/14/2015)
RR
Hawaii(11/3/2021)
RR
Indiana(4/15/2024)
RR
Maryland(10/14/2015)
RR
North Carolina(10/14/2015)
RR
Pennsylvania(10/14/2015)
IAR
Pennsylvania(10/14/2015)
RR
Virginia(10/14/2015)
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#: 35371New Alexandria, PA 15670TRUST BUT VERIFY
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