BP
Brentley E. Priddy
OSAIC INSTITUTIONS
Wilmington, NC 28405
Some features on this profile are disabled
CRD#: 5087281
BP
Professional summary
Brentley Elliott Priddy, who also goes by Brent Elliott Priddy, Brent Priddy, Brentley Priddy, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Wilmington, North Carolina.
Brentley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brentley has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brent Elliott Priddy | Brent Priddy | Brentley Priddy
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.) RENTAL PROPERTY POSITION: Oowner of a rental property NATURE: I purchased a duplex in Wilmington, NC as a rental property. My son, who is a student at UNC Wilmington, lives in one unit with a roommate. A young couple rents the second unit. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/31/2019 ADDRESS: 4303 and 4305 Park Avenue, Wilmington NC 28403 2.) Southern Bank. Yes, investment related. Started Jan 2024. Financial Advisor Referral Program. 1% increase in grid payout if meet referral goal. Refer business to Southern Bank partners.
CRS (Client Relationship Summary) - RIA
Click below to view Brentley Elliott Priddy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brentley Elliott Priddy'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
June 1, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6752 Rock Spring Rd #100, Wilmington, NC 28405RIA
BD
CRD#: 35371
Wilmington, NC
Current
June 1, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6752 Rock Spring Rd #100, Wilmington, NC 28405RIA
BD
CRD#: 35371
Wilmington, NC
Past
February 17, 2021 - January 3, 2022
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
Greensboro, NC
Past
February 17, 2021 - January 3, 2022
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENSBORO, NC
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
March 8, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
GREENSBORO, NC
Past
March 8, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
GREENSBORO, NC
Past
April 4, 2006 - February 22, 2010
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
GREENSBORO, NC
Past
February 27, 2006 - February 22, 2010
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENSBORO, NC
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(10/29/2025)
RR
Colorado(8/6/2025)
RR
North Carolina(6/1/2022)
IAR
North Carolina(6/1/2022)
RR
Virginia(11/22/2024)
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.
