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Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-06-20
  • NY RA
    APPROVED
    Since 2023-06-20

Branch Locations

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

151 East Sunrise Hwy, N. Lindenhurst, NY 11757 • United States

151 E. Sunrise Highway, Lindenhurst, NY 11757 • 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
Apple Bank For Savings Bay Ridge NY 06/2009 07/2022
Infinex Investments, Inc. Brooklyn NY 07/2016 07/2022
Td Bank N.A. Melville NY 08/2022 06/2023
Td Private Client Wealth Llc Melville NY 08/2022 06/2023
Infinex Investments, Inc. Meriden CT 06/2023 Present
Apple Bank Lindenhurst NY 06/2023 Present
  • 06/2009 → 07/2022
    Apple Bank For Savings
    Bay Ridge, NY
  • 07/2016 → 07/2022
    Infinex Investments, Inc.
    Brooklyn, NY
  • 08/2022 → 06/2023
    Td Bank N.A.
    Melville, NY
  • 08/2022 → 06/2023
    Melville, NY
  • 06/2023 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 06/2023 → Present
    Apple Bank
    Lindenhurst, NY
Previous Registrations
  • 2022-09-02 → 2023-05-19
    Melville, NY
    Melville, NY
    New York, NY
  • 2006-10-05 → 2009-05-15
    Chase Investment Services Corp.
    Brooklyn, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-09-02
S63 Uniform Securities Agent State Law Examination 2002-08-08
  • S65 Uniform Investment Adviser Law Examination
    2022-09-02
  • S63 Uniform Securities Agent State Law Examination
    2002-08-08
Other Names
  • Brian Dennis Sullivan

View on SEC IAPD

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