MC
Mark R. Calaci
OSAIC INSTITUTIONS
Smithtown, NY 11787
Some features on this profile are disabled
CRD#: 4662902
MC
Professional summary
Mark Robert Calaci, who also goes by Mark Calaci, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Smithtown, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Calaci
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.
INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2025 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Robert Calaci's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Robert Calaci'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
April 28, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 91 Route 111, Smithtown, NY 11787RIA
BD
CRD#: 35371
Smithtown, NY
Current
April 28, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 91 Route 111, Smithtown, NY 11787RIA
BD
CRD#: 35371
Smithtown, NY
Past
December 16, 2024 - April 29, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Melville, NY
Past
December 16, 2024 - April 29, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Melville, NY
Past
August 30, 2022 - December 17, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
MELVILLE, NY
Past
August 30, 2022 - December 17, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
MELVILLE, NY
Past
May 18, 2022 - August 25, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
Rocky Point, NY
Past
May 18, 2022 - August 25, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
Rocky Point, NY
Past
May 20, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Rocky Point, NY
Past
May 20, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Rocky Point, NY
Past
October 21, 2020 - May 18, 2021
GWN SECURITIES INC.
RIA
CRD#: 128929
EAST SETAUKET, NY
Past
October 21, 2020 - May 18, 2021
GWN SECURITIES INC.
BD
CRD#: 128929
EAST SETAUKET, NY
Past
November 16, 2015 - October 23, 2020
OSAIC FS, INC.
RIA
CRD#: 3870
New York, NY
Past
November 13, 2015 - October 23, 2020
OSAIC FS, INC.
BD
CRD#: 3870
New York, NY
Past
January 28, 2011 - November 23, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
PORT JEFFERSON, NY
Past
January 28, 2011 - November 23, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
PORT JEFFERSON, NY
Past
December 1, 2008 - January 31, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
AMITYVILLE, NY
Past
December 1, 2008 - January 31, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
AMITYVILLE, NY
Past
July 23, 2008 - November 26, 2008
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LATHAM, NY
Past
May 30, 2006 - November 26, 2008
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LATHAM, NY
Past
January 1, 2006 - May 31, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HUNTINGTON, NY
Past
April 22, 2004 - March 11, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 19, 2003 - January 27, 2004
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, 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(4/28/2025)
RR
New Jersey(4/28/2025)
IAR
New Jersey(4/28/2025)
RR
New York(4/28/2025)
IAR
New York(4/28/2025)
RR
North Carolina(4/28/2025)
Exams
State Security Law Exam
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.
