TG
Thomas Green
OSAIC INSTITUTIONS
Westminster, CO 80031
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CRD#: 7299021
TG
Professional summary
Thomas Green is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Westminster, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Thomas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME OF THE OTHER BUSINESS:GSG/Bellco Credit Union INVESTMENT- RELATED:Yes ADDRESS OF THE OTHER BUSINESS:Centennial, CO 80015 YOUR POSITION OR TITLE:Licensed Sales Assistant NATURE OF THE OTHER BUSINESS:Private Business START DATE:5/24/2021 APPROXIMATE NUMBER OF HOURS/MONTH:160 APPROXIMATE NUMBER OF HOURS DURING TRADING HOURS:160 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS:Credit Union Client Services COMPENSATION :Yes
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Green's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Green'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
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8851 Harlan Street, Westminster, CO 80031Office #2: 9710 Washington Street, Thornton, CO 80229Office #3: 5091 Kipling Street, Suite 110, Wheat Ridge, CO 80033Office #4: 22 S. 50th Avenue, Brighton, CO 80601RIA
BD
CRD#: 35371
Westminster, CO
Current
November 30, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 8851 Harlan Street, Westminster, CO 80031Office #2: 9710 Washington Street, Thornton, CO 80229Office #3: 5091 Kipling Street, Suite 110, Wheat Ridge, CO 80033Office #4: 22 S. 50th Avenue, Brighton, CO 80601RIA
BD
CRD#: 35371
Westminster, CO
Past
May 24, 2021 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
WESTMINSTER, CO
Past
May 24, 2021 - November 29, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
WESTMINSTER, CO
Past
January 4, 2021 - May 7, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Greenwood Village, CO
Past
December 9, 2020 - May 7, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Greenwood Village, CO
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
Arizona(11/30/2023)
RR
Arkansas(11/30/2023)
RR
California(11/30/2023)
RR
Colorado(11/30/2023)
IAR
Colorado(11/30/2023)
RR
Connecticut(11/30/2023)
RR
Florida(11/30/2023)
RR
Georgia(11/30/2023)
RR
Indiana(11/30/2023)
RR
Iowa(11/30/2023)
RR
Kansas(11/30/2023)
RR
Maryland(11/30/2023)
RR
Michigan(11/30/2023)
RR
Missouri(11/30/2023)
RR
Montana(11/30/2023)
RR
Nebraska(11/30/2023)
RR
Nevada(11/30/2023)
RR
New Mexico(11/30/2023)
RR
North Carolina(11/30/2023)
RR
Oklahoma(11/30/2023)
RR
Oregon(11/30/2023)
RR
Pennsylvania(11/30/2023)
RR
Texas(11/30/2023)
RR
Utah(11/30/2023)
RR
Virginia(11/30/2023)
RR
Wisconsin(11/30/2023)
RR
Wyoming(11/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/9/2020
General Securities 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.
