JD
John M. Desarno
OSAIC INSTITUTIONS
Leesburg, VA 20176
Some features on this profile are disabled
CRD#: 4615714
JD
Professional summary
John Mark Desarno, who also goes by J. Mark De Sarno, John Mark De Sarno, John Mark Desarno, Mark Desarno, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Leesburg, Virginia.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. John has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
J. Mark De Sarno | John Mark De Sarno | John Mark Desarno | Mark Desarno
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.
DESARNO CONSULTING, INC. POSITION: Owner/President of this former, inactive, not relevant business NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 7586 Sika Deer Way, Fort Myers FL 33966, United States DESCRIPTION: None, as this business is inactive/dormant and completely not relevant
CRS (Client Relationship Summary) - RIA
Click below to view John Mark Desarno's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Mark Desarno'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
August 16, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 504 East Market Street, Leesburg, VA 20176Office #2: 202 N Loudoun St, Winchester, VA 22601RIA
BD
CRD#: 35371
Leesburg, VA
Current
August 16, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 504 East Market Street, Leesburg, VA 20176Office #2: 202 N Loudoun St, Winchester, VA 22601RIA
BD
CRD#: 35371
Leesburg, VA
Past
June 9, 2022 - August 24, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Fort Myers, FL
Past
May 31, 2022 - August 24, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Fort Myers, FL
Past
August 25, 2021 - June 7, 2022
THE LEADERS GROUP, INC.
BD
CRD#: 37157
Jacksonville, FL
Past
March 25, 2020 - March 31, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
Alpharetta, GA
Past
September 1, 2015 - March 31, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
May 2, 2013 - September 8, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MYERS, FL
Past
May 1, 2013 - September 8, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MYERS, FL
Past
April 30, 2012 - May 9, 2013
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FT MYERS, FL
Past
March 30, 2012 - May 9, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FT MYERS, FL
Past
January 12, 2009 - March 23, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
FT. MYERS, FL
Past
December 19, 2008 - March 23, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
FT. MYERS, FL
Past
March 14, 2003 - December 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
VIENNA, VA
Past
March 6, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 6, 2003 - December 18, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
VIENNA, VA
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(8/16/2023)
RR
Maryland(8/16/2023)
RR
Virginia(8/16/2023)
IAR
Virginia(8/16/2023)
RR
Washington(8/16/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
