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Osaic Institutions, Inc. CRD 35371
$6.49B regulatory AUM 7 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
538 Preston Avenue, Meriden, CT 06450-4858 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-03-12 |
Branch Locations
114 Federal Road, Danbury, CT 06810 • United States
26 Mill Plain Road, Suite 1A, Danbury, CT 06811 • United States
150 Danbury Road, Ridgefield, CT 06877 • United States
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Greenwell Financial | Danbury | CT | 04/2015 | 10/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2016 | 01/2017 |
| Northwestern Mutual Investment Services Llc | Wilton | CT | 05/2016 | 01/2017 |
| Wells Fargo Clearing Services Llc | Danbury | CT | 10/2017 | 01/2025 |
| Osaic Institutions, Inc. | Meriden | CT | 03/2025 | Present |
| Fairfield County Bank | Danbury | CT | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-09-15 |
| S65 | Uniform Investment Adviser Law Examination | 2015-05-08 |
| S66 | Uniform Combined State Law Examination | 2006-04-10 |
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