JN
John M. Nauman
OSAIC INSTITUTIONS
Olathe, KS 66062
Some features on this profile are disabled
CRD#: 501190
JN
Professional summary
John Michael Nauman, who also goes by Michael Nauman, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Olathe, Kansas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. John has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Nauman
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.) Security Bank (Virtue Fianacial Advisers). Insurance sales. Starting Jan 2018. Approx 1 hour per month during trading hours. Commission sales. Agent. 2.) Trustee, Keelen Irrev. Trust. Broadmoor KS. Yes, Investment related. 82 year old Aunt's family trust. Started approx in 2015. Trustee duties, balance check book, dispense req funds, pay life Ins premium. Approx 5 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Nauman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Nauman'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
January 2, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 13379 S Black Bob Road, Olathe, KS 66062RIA
BD
CRD#: 35371
Olathe, KS
Current
January 2, 2018 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 13379 S Black Bob Road, Olathe, KS 66062RIA
BD
CRD#: 35371
Olathe, KS
Past
February 17, 2017 - December 31, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
OLATHE, KS
Past
February 15, 2017 - December 31, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
OLATHE, KS
Past
August 7, 2013 - March 1, 2017
BANKERS & INVESTORS CO.
RIA
CRD#: 6874
OLATHE, KS
Past
September 1, 2009 - March 1, 2017
BANKERS & INVESTORS CO.
BD
CRD#: 6874
OLATHE, KS
Past
August 11, 2004 - August 28, 2009
NTB FINANCIAL CORPORATION
BD
CRD#: 7425
OVERLAND PARK, KS
Past
December 2, 1994 - August 11, 2004
CHAPMAN SECURITIES, INC.
BD
CRD#: 25688
WICHITA, KS
Past
November 8, 1978 - December 15, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
November 22, 1977 - January 27, 1979
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
October 5, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
BD
CRD#: 7295
Past
January 22, 1976 - July 31, 1977
PERRY, ADAMS & LEWIS SECURITIES, INC.
BD
CRD#: 6992
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
California(1/2/2018)
RR
Colorado(1/2/2018)
RR
Florida(1/2/2018)
RR
Georgia(11/30/2021)
RR
Illinois(1/2/2018)
RR
Kansas(1/2/2018)
IAR
Kansas(1/2/2018)
RR
Michigan(1/2/2018)
RR
Missouri(1/2/2018)
IAR
Missouri(1/2/2018)
RR
New York(1/2/2018)
RR
Oklahoma(1/2/2018)
RR
Texas(1/2/2018)
RR
Washington(1/2/2018)
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.
