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Stephen Michael Volpe

Osaic Institutions, Inc.

Warwick, RI

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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2022-05-04
CT RA APPROVED 2022-05-02
  • RI RA
    APPROVED
    Since 2022-05-04
  • CT RA
    APPROVED
    Since 2022-05-02

Branch Locations

2669 Post Rd, Warwick, RI 02886 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Santander Securities Llc Guaynabo PR 09/2012 11/2017
Sovereign Bank Seekonk MA 06/2000 11/2017
Cuna Brokerage Services, Inc. Waverly IA 11/2017 08/2019
Cuna Mutual Group Waverly IA 11/2017 08/2019
Royal Alliance Wayland MA 07/2019 05/2022
Infinex Investments, Inc. Meriden CT 05/2022 Present
  • 09/2012 → 11/2017
    Santander Securities Llc
    Guaynabo, PR
  • 06/2000 → 11/2017
    Sovereign Bank
    Seekonk, MA
  • 11/2017 → 08/2019
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 11/2017 → 08/2019
    Cuna Mutual Group
    Waverly, IA
  • 07/2019 → 05/2022
    Royal Alliance
    Wayland, MA
  • 05/2022 → Present
    Infinex Investments, Inc.
    Meriden, CT
Previous Registrations
  • 2019-08-05 → 2022-05-03
    Osaic Wealth, Inc.
    Warwick, RI
    Warwick, RI
    Scottsdale, AZ
  • 2017-11-13 → 2019-08-08
    Cuna Brokerage Services, Inc.
    Warwick, RI
    Waverly, IA
  • 2014-06-23 → 2017-11-08
    Santander Securities Llc
    Seekonk, MA
    North Attleboro, MA
    Taunton, MA
    Attleboro, MA
    Seekonk, MA
    Hanover, MA
    Raynham, MA
    Assonet, MA
    Lexington, MA
    Taunton, MA
    Worcester, MA
    Rumford, RI
    Framingham, MA
    Framingham, MA
    Rumford, RI
    East Providence, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-23
S63 Uniform Securities Agent State Law Examination 1993-10-18
  • S65 Uniform Investment Adviser Law Examination
    2014-06-23
  • S63 Uniform Securities Agent State Law Examination
    1993-10-18
Other Names
  • Stephen M Volpe
  • Steve Volpe

View on SEC IAPD

Other Firms

ARLEN CAPITAL, LLC
BENTLEY WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
INTEGRATED WEALTH CONCEPTS LLC
OSAIC WEALTH, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
MML INVESTORS SERVICES, LLC

Other Investors

ADAM MCCRYSTAL SULLIVAN
DAVID A NABB
PETER ANTHONY SULLIVAN
FRANK PETER MCGOFF
David Paul DiSanto
ROBERT ALBERT D'AMICO
JAMES MARTIN
Gregory Paul Rodger

Other Offices

ARLEN CAPITAL, LLC · WARWICK, RI
BENTLEY WEALTH ADVISORS, LLC · WARWICK, RI
AMERIPRISE FINANCIAL SERVICES, LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
INTEGRATED WEALTH CONCEPTS LLC · Warwick, RI
OSAIC WEALTH, INC. · WARWICK, RI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WARWICK, RI

More in Warwick, RI

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