KS
Kevin G. Smith
OSAIC INSTITUTIONS
Waterbury, CT 06708
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CRD#: 6311864
KS
Professional summary
Kevin Gerard Smith, who also goes by Kevin G Smith, Kevin Smith, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Waterbury, Connecticut.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Kevin has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin G Smith | Kevin Smith
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.
ACTIVITY TYPE: 3 - SECOND JOB
NAME OF ENTITY: CONNECTICUT STATE REFEREE PROGRAM
POSITION: REFEREE
START DATE: 4/2/2017
ADDRESS: 705 Newington, CT 06111
DETAILS: HTTPS://WWW.CTREFEREE.NET. REFEREE FOR YOUTH SOCCER MATCHES. OFFICIATING YOUTH SOCCER COMPETITIONS ON WEEKENDS AS CENTER REFEREE OR ASSISTANT REFEREE.
HOURS DEDICATED (per month unless otherwise indicated): 5 TO 10 HOURS PER WEEK
HOURS DURING TRADING: 0
INVESTMENT RELATED: NO
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Gerard Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Gerard Smith'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 28, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 357 Bank St, Waterbury, CT 06708Office #2: 2084 N. Main St, Waterbury, CT 06704Office #3: 295 Westport Ave, Norwalk, CT 06851Office #4: 154 Federal Road, Brookfield, CT 06804Office #5: 90 Mill Plain Road, Danbury, CT 06811Office #6: 100 Route 37, New Fairfield, CT 06812Office #7: 1 Kent Road, New Milford, CT 06776Office #8: 20 Church Hill Road, Newtown, CT 06470Office #9: 40 Grassy Plain St, Bethel, CT 06801Office #10: 325 Main Street South, Southbury, CT 06488RIA
BD
CRD#: 35371
Waterbury, CT
Current
June 28, 2021 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 357 Bank St, Waterbury, CT 06708Office #2: 2084 N. Main St, Waterbury, CT 06704Office #3: 295 Westport Ave, Norwalk, CT 06851Office #4: 154 Federal Road, Brookfield, CT 06804Office #5: 90 Mill Plain Road, Danbury, CT 06811Office #6: 100 Route 37, New Fairfield, CT 06812Office #7: 1 Kent Road, New Milford, CT 06776Office #8: 20 Church Hill Road, Newtown, CT 06470Office #9: 40 Grassy Plain St, Bethel, CT 06801Office #10: 325 Main Street South, Southbury, CT 06488RIA
BD
CRD#: 35371
Waterbury, CT
Past
January 5, 2021 - June 2, 2021
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
Orange, CT
Past
June 16, 2017 - June 2, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
Orange, CT
Past
February 17, 2015 - May 9, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NORWALK, CT
Past
June 11, 2014 - February 27, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
TRUMBULL, CT
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(6/28/2021)
IAR
Connecticut(6/28/2021)
RR
Florida(4/28/2023)
RR
Massachusetts(4/28/2023)
RR
Montana(9/24/2025)
RR
New York(4/28/2023)
RR
North Carolina(4/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/17/2020
General Securities Representative ExaminationGeneral 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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Waterbury, CT 06708TRUST BUT VERIFY
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