JP
Justin S. Perri
OSAIC INSTITUTIONS
Cornelius, NC 28031
Some features on this profile are disabled
CRD#: 7051140
JP
Professional summary
Justin Sean Perri, who also goes by Justin S Perri, Justin Perri, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Cornelius, North Carolina.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Justin has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin S Perri | Justin Perri
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.) Kidz Dreamz Klub. Not investment related. Providing affordable after school and summer day camp programs for area youth. Board member/Volunteer. Started Jan 2021.Approx 2 hours per month not during trading hours. 2.) HomeTrust bank. Yes, investment related. banking. Started Dec 2021. Sr. Licensed Professional Banker. Approx 160 hours per month. Approx 136 during trading hours. 3.) Lexington Kiwanis Club. Member Board Member.Club member as of 2023. Serving on board since 2024. Approx 6 hours per month during trading hours. Weekly club meetings, quarterly board meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Sean Perri's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Justin Sean Perri'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 19, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 17065 Nat Bynum Lane, Cornelius, NC 28031Office #2: 6310 Fairview Road, Charlotte, NC 28210Office #3: 107 West Center Street, Lexington, NC 27292RIA
BD
CRD#: 35371
Cornelius, NC
Current
January 19, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 17065 Nat Bynum Lane, Cornelius, NC 28031Office #2: 6310 Fairview Road, Charlotte, NC 28210Office #3: 107 West Center Street, Lexington, NC 27292RIA
BD
CRD#: 35371
Cornelius, NC
Past
June 24, 2021 - December 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HIGH POINT, NC
Past
June 24, 2021 - December 20, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HIGH POINT, NC
Past
September 25, 2020 - February 25, 2021
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
Winston Salem, NC
Past
July 27, 2020 - February 25, 2021
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
Winston Salem, NC
Past
January 25, 2019 - July 29, 2020
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
WINSTON SALEM, 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
Florida(9/24/2024)
RR
Maryland(9/4/2025)
RR
North Carolina(1/19/2022)
IAR
North Carolina(1/19/2022)
RR
South Carolina(10/7/2022)
RR
Virginia(3/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/25/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
