WG
Walter W. Goss
OSAIC INSTITUTIONS
HANOVER, NH 03755
Some features on this profile are disabled
CRD#: 6149962
WG
Professional summary
Walter W Goss III, who also goes by Walter Welcom Goss III, Walter Welcom Goss, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Hanover, New Hampshire.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Walter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Walter Welcom Goss Iii | Walter Welcom Goss
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.) Property Owner -not Investment Related - Home Based & Concord NH 03301 - Real Estate Rental - Owner - Started 06/01/2005 - 4 Hours Per Month/0 Hours During Securities Trading - collect monthly rent.
CRS (Client Relationship Summary) - RIA
Click below to view Walter W Goss III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Walter W Goss III'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 8, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Maple Street, Hanover, NH 03755Office #2: 1 Pillsbury Street, Suite 303, Concord, NH 03301RIA
BD
CRD#: 35371
HANOVER, NH
Current
January 8, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Maple Street, Hanover, NH 03755Office #2: 1 Pillsbury Street, Suite 303, Concord, NH 03301RIA
BD
CRD#: 35371
HANOVER, NH
Past
October 26, 2020 - January 21, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
LACONIA, NH
Past
October 26, 2020 - January 21, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
LACONIA, NH
Past
March 22, 2019 - October 28, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
HILLSBOROUGH, NH
Past
March 22, 2019 - October 28, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
HILLSBOROUGH, NH
Past
December 12, 2018 - March 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
DEERFIELD, NH
Past
December 12, 2018 - March 25, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
DEERFIELD, NH
Past
October 30, 2017 - December 14, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BEDFORD, NH
Past
October 5, 2017 - December 14, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BEDFORD, NH
Past
September 22, 2014 - May 11, 2017
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ACTON, MA
Past
February 15, 2013 - May 11, 2017
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ACTON, MA
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
Connecticut(1/8/2025)
RR
Massachusetts(1/9/2025)
RR
New Hampshire(1/8/2025)
IAR
New Hampshire(1/8/2025)
RR
North Carolina(1/8/2025)
RR
Vermont(7/21/2025)
RR
Wisconsin(8/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
