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Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2010-06-24
MA RA APPROVED 2007-12-03
  • RI RA
    APPROVED
    Since 2010-06-24
  • MA RA
    APPROVED
    Since 2007-12-03

Branch Locations

79 North Main Street, Fall River, MA 02720 • United States

54 County St, Somerset, MA 02726 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Community Bank Brockton MA 11/2007 Present
Infinex Investments, Inc. Brockton MA 11/2007 Present
  • 11/2007 → Present
    The Community Bank
    Brockton, MA
  • 11/2007 → Present
    Infinex Investments, Inc.
    Brockton, MA
Previous Registrations
  • 2006-09-05 → 2007-12-03
    Randolph, MA
    Rockland, MA
  • 2004-10-20 → 2006-07-28
    Banc Of America Investment Services, Inc.
    East Freetown, MA
    Fall River, MA
    New Bedford, MA
    South Dartmouth, MA
    New Bedford, MA
    North Dartmouth, MA
    New Bedford, MA
    Fairhaven, MA
    Fall River, MA
    New Bedford, MA
    New Bedford, MA
  • 2004-06-09 → 2004-10-20
    Quick & Reilly, Inc.
    Bedford, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-30
S63 Uniform Securities Agent State Law Examination 1995-01-12
  • S65 Uniform Investment Adviser Law Examination
    2004-06-30
  • S63 Uniform Securities Agent State Law Examination
    1995-01-12

View on SEC IAPD

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