BJ
Bruce A. Joseph
OSAIC INSTITUTIONS
Clyde, OH 43410
Some features on this profile are disabled
CRD#: 4588853
BJ
Professional summary
Bruce Allen Joseph, who also goes by Bruce Allen Joseph, Bruce Joseph, Bruce A Joseph, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Clyde, Ohio.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Bruce has worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce Allen Joseph | Bruce Joseph | Bruce A Joseph
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) NAME OF THE OTHER BUSINESS:RSS Investigations & Security INVESTMENT- RELATED:Office ADDRESS OF THE OTHER BUSINESS:137 S. Broadway St, OH 44836 YOUR POSITION OR TITLE:Office NATURE OF THE OTHER BUSINESS:Private Business START DATE:6/1/2012 APPROXIMATE NUMBER OF HOURS/MONTH:2 to 4 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Professional security/protection for individuals and businesses. COMPENSATION :Yes
CRS (Client Relationship Summary) - RIA
Click below to view Bruce Allen Joseph's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Allen Joseph'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
March 19, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1455 W. Mcpherson Hwy, Clyde, OH 43410RIA
BD
CRD#: 35371
Clyde, OH
Current
March 19, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1455 W. Mcpherson Hwy, Clyde, OH 43410RIA
BD
CRD#: 35371
Clyde, OH
Past
March 1, 2017 - March 13, 2025
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Clyde, OH
Past
March 1, 2017 - March 13, 2025
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Clyde, OH
Past
October 14, 2016 - February 28, 2017
EDWARD JONES
RIA
CRD#: 250
BOWLING GREEN, OH
Past
October 14, 2016 - February 28, 2017
EDWARD JONES
BD
CRD#: 250
BOWLING GREEN, OH
Past
January 19, 2016 - October 4, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SWANTON, OH
Past
January 7, 2016 - October 4, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SWANTON, OH
Past
September 21, 2015 - January 14, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
TOLEDO, OH
Past
September 11, 2015 - January 14, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TOLEDO, OH
Past
April 9, 2012 - September 21, 2015
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SYLVANIA, OH
Past
March 28, 2012 - September 21, 2015
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SYLVANIA, OH
Past
March 23, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
TOLEDO, OH
Past
March 18, 2011 - March 29, 2012
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TOLEDO, OH
Past
November 11, 2010 - March 18, 2011
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
TOLEDO, OH
Past
November 10, 2010 - March 18, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
TOLEDO, OH
Past
September 2, 2009 - October 18, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
FREMONT, OH
Past
August 26, 2009 - October 18, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
FREMONT, OH
Past
March 2, 2009 - August 24, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
FREMONT, OH
Past
February 24, 2009 - August 24, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
FREMONT, OH
Past
January 4, 2006 - February 25, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
FREMONT, OH
Past
November 15, 2002 - February 25, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
FREMONT, OH
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(3/19/2025)
RR
Georgia(3/19/2025)
RR
Kentucky(3/19/2025)
RR
Michigan(3/19/2025)
RR
Ohio(3/19/2025)
IAR
Ohio(3/19/2025)
RR
Texas(6/26/2025)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
