MC
Michael Caracappa
OSAIC INSTITUTIONS
Manhasset, NY 11030
Some features on this profile are disabled
CRD#: 4743242
MC
Professional summary
Michael Caracappa JR. is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Manhasset, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CARA-CO SECURITY INC. DORMENT S CORP SECURITY SYSTEM CO, LESS THAN 2 HRS PER MONTH,
CRS (Client Relationship Summary) - RIA
Click below to view Michael Caracappa JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Caracappa JR.'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
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1395 Northern Blvd, Manhasset, NY 11030Office #2: 1000 Merchants Concourse, Westbury, NY 11590Office #3: 115 Cedarhurst Avenue, Cedarhurst, NY 11516Office #4: 365-b South Oyster Bay Road, Plainview, NY 11803RIA
BD
CRD#: 35371
Manhasset, NY
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 1395 Northern Blvd, Manhasset, NY 11030Office #2: 1000 Merchants Concourse, Westbury, NY 11590Office #3: 115 Cedarhurst Avenue, Cedarhurst, NY 11516Office #4: 365-b South Oyster Bay Road, Plainview, NY 11803RIA
BD
CRD#: 35371
Manhasset, NY
Past
August 22, 2011 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
PLAINVIEW, NY
Past
August 22, 2011 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
PLAINVIEW, NY
Past
November 18, 2010 - August 10, 2011
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MELVILLE, NY
Past
June 7, 2010 - October 26, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HAUPPAUGE, NY
Past
April 13, 2010 - October 26, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HAUPPAUGE, NY
Past
May 15, 2008 - April 14, 2010
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
COMMACK, NY
Past
July 20, 2006 - January 30, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SYOSSET, NY
Past
April 21, 2005 - April 28, 2006
WESTROCK ADVISORS, INC.
BD
CRD#: 114338
NEW YORK, NY
Past
January 19, 2004 - April 25, 2005
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
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(7/25/2019)
IAR
New Jersey(7/1/2016)
RR
New Jersey(10/6/2020)
RR
New York(7/1/2016)
IAR
New York(7/14/2021)
RR
Virginia(8/22/2023)
Exams
State Security Law Exam
State Security Law 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.
