SP
Scott D. Pritchard
OSAIC INSTITUTIONS
Connellsville, PA 15425
Some features on this profile are disabled
CRD#: 7186821
SP
Professional summary
Scott D Pritchard, who also goes by Scot D Pritchard, Scott Pritchard, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Connellsville, Pennsylvania.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Scott has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scot D Pritchard | Scott Pritchard
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.
Self Employed Type of business: Wrestling official Jefferson Hills, PA Start date: 10/1/2010 Referee Hours per week: 5 Hours during trading: 0 Officiate matches from youth up to high school level wrestling. I mostly do youth matches on the weekends.
CRS (Client Relationship Summary) - RIA
Click below to view Scott D Pritchard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott D Pritchard'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 21, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 125 S. Arch St, Connellsville, PA 15425RIA
BD
CRD#: 35371
Connellsville, PA
Current
January 21, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 125 S. Arch St, Connellsville, PA 15425RIA
BD
CRD#: 35371
Connellsville, PA
Past
April 18, 2024 - January 22, 2025
EDWARD JONES
BD
CRD#: 250
BETHEL PARK, PA
Past
April 8, 2024 - January 22, 2025
EDWARD JONES
RIA
CRD#: 250
BETHEL PARK, PA
Past
April 29, 2022 - September 12, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MONROEVILLE, PA
Past
April 29, 2022 - September 12, 2023
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MONROEVILLE, PA
Past
August 9, 2021 - April 29, 2022
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PITTSBURGH, PA
Past
August 9, 2021 - April 29, 2022
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PITTSBURGH, PA
Past
November 11, 2020 - July 29, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Robinson, PA
Past
May 16, 2020 - November 18, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PITTSBURGH, PA
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
Pennsylvania(1/21/2025)
IAR
Pennsylvania(1/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/16/2020
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Connellsville, PA 15425TRUST BUT VERIFY
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