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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 |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-07-28 |
| PA | RA | APPROVED | 2025-07-25 |
| TX | RA | APPROVED | 2025-07-25 |
Branch Locations
300 Executive Dr Suite 350, West Orange, NJ 07052 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance | Butler | NJ | 08/2013 | 06/2020 |
| Ameriprise Financial Services, Llc | West Orange | NJ | 06/2020 | 07/2025 |
| Osaic Institutions, Inc. | Meriden | CT | 07/2025 | Present |
Business Ownership; BHK Tax Services; Owner - Tax Preparation Services; Tax Preparation; PO Box 301, , Oak Ridge, NJ, 07438; Not Investment-Related; 02/01/2004; 1 to 9 hours per month; 0 during trading hours. Outside Employment; BHK Tax Services; Other, Owner; Other, Tax Preparation; PO Box 301, , Oak Ridge, NJ, 7438; Not Investment-Related; 02/01/2004; 1 to 9 hours per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-28 |
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