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James Patrick Collins

Osaic Institutions, Inc.

Plainville, CT

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Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-10-16
  • CT RA
    APPROVED
    Since 2023-10-16

Branch Locations

58 West Main Street, Plainville, CT 06062 • 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
Webster Investment Services Inc Kensington CT 05/2004 10/2023
Lpl Financial Llc Plainville CT 10/2011 10/2023
Infinex Investments, Inc. Meriden CT 10/2023 Present
Ion Bank Meriden CT 10/2023 Present
  • 05/2004 → 10/2023
    Webster Investment Services Inc
    Kensington, CT
  • 10/2011 → 10/2023
    Lpl Financial Llc
    Plainville, CT
  • 10/2023 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 10/2023 → Present
    Ion Bank
    Meriden, CT
Previous Registrations
  • 2011-10-11 → 2023-10-30
    Lpl Financial Llc
    Springfield, MA
    Westfield, MA
    East Windsor, CT
    East Longmeadow, MA
    West Springfield, MA
    Cromwell, CT
    West Hartford, CT
    Rocky Hill, CT
    West Manchester, CT
    Newington, CT
    Rocky Hill, CT
    West Manchester, CT
    West Hartford, CT
    Meriden, CT
    Plainville, CT
    Bristol, CT
  • 2009-05-20 → 2011-10-11
    Uvest Financial Services Group, Inc.
    Springfield, MA
    West Springfield, MA
    Westfield, MA
    Longmeadow, MA
    Bristol, CT
    Bristol, CT
    East Longmeadow, MA
    West Hartford, CT
    Forestville, CT
    Longmeadow, MA
    Bristol, CT
    East Windsor, CT
Other Businesses

1.) ION Bank. Banking. Yes, investment related. VP Started 10/2023.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-19
S63 Uniform Securities Agent State Law Examination 2005-09-13
  • S65 Uniform Investment Adviser Law Examination
    2009-05-19
  • S63 Uniform Securities Agent State Law Examination
    2005-09-13
Designations
Other Names
  • James Patrick Collins
  • Jim Collins

View on SEC IAPD

Other Firms

GWN SECURITIES INC.
PFS INVESTMENTS INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
LPL FINANCIAL LLC
THRIVENT INVESTMENT MANAGEMENT INC.
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
BANKERS LIFE ADVISORY SERVICES, INC.

Other Investors

KYLE P KUMMER
BRIAN RICHARD BENDER
GENE WILLIAM CALLAHAN
NICOLE KATHLEEN BAILEY
WILLIAM ROBERT MICARI
MICHAEL LAWRENCE WALSH
Nicholas Provera
Edward Lawrence Graham-Handley

Other Offices

GWN SECURITIES INC. · PLAINVILLE, CT
PFS INVESTMENTS INC. · PLAINVILLE, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Bristol, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Farmington, CT
EDWARD JONES · SOUTHINGTON, CT
LPL FINANCIAL LLC · FARMINGTON, CT
OSAIC INSTITUTIONS, INC. · FARMINGTON, CT
THRIVENT INVESTMENT MANAGEMENT INC. · Farmington, CT

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