TM
Trevor P. Mathew
OSAIC INSTITUTIONS
Fargo, ND 58104
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CRD#: 7353900
TM
Professional summary
Trevor Prakash Mathew is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Fargo, North Dakota.
Trevor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Trevor has worked at 2 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.
1.)FARGO THEATRE POSITION: Board of Directors NATURE: Built in 1926 as a cinema and vaudeville theatre, the beautifully restored Fargo Theatre now serves as an art house theatre featuring independent and foreign film. The Theatre is also Fargo's hottest downtown venue for concerts and other live events. In spring of 2009, the Fargo Theatre opened a second auditorium to increase our offering of film and event programming. The Fargo Theatre is a non-profit organization and was placed on the National Register of Historical Places by the United States Department of the Interior. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/23/2022 ADDRESS: 314 Broadway N #4715, Fargo ND 58102, United States DESCRIPTION: This is a governing board for the non-profit. There are 11 meetings a year. 2.) Alerus. Yes, investment related. started Nov 2022. Approx 136 hours per month. Financial Advisor.
CRS (Client Relationship Summary) - RIA
Click below to view Trevor Prakash Mathew's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Trevor Prakash Mathew'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
December 13, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3189 Ace Allen Way S, Fargo, ND 58104RIA
BD
CRD#: 35371
Fargo, ND
Current
December 7, 2022 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 3189 Ace Allen Way S, Fargo, ND 58104RIA
BD
CRD#: 35371
Fargo, ND
Past
July 12, 2021 - November 9, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
FARGO, ND
Past
June 15, 2021 - November 9, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
FARGO, ND
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(10/6/2023)
RR
Connecticut(10/6/2023)
RR
Florida(1/29/2025)
RR
Massachusetts(10/6/2023)
RR
Minnesota(12/7/2022)
RR
Montana(9/25/2025)
RR
North Dakota(12/7/2022)
IAR
North Dakota(12/13/2022)
RR
Rhode Island(10/6/2023)
RR
South Dakota(10/6/2023)
RR
Washington(10/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/15/2021
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Fargo, ND 58104TRUST BUT VERIFY
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