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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2025-05-19 |
Branch Locations
11757 Katy Freeway, Suite 100, Houston, TX 77079 • United States
819 Rollingbrook Street, Baytown, TX 77521 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Durbin Consulting | Spring | TX | 11/2015 | 02/2020 |
| Club Pilates | Spring | TX | 03/2018 | 03/2021 |
| Rethink Wealth | Houston | TX | 04/2020 | 05/2021 |
| Guardian Life Insurance Company | Houston | TX | 07/2020 | 05/2021 |
| Park Avenue Securities | Houston | TX | 04/2021 | 05/2021 |
| Principal Life Insurance Company | Houston | TX | 05/2021 | 09/2024 |
| Principal Securities Inc | Houston | TX | 05/2021 | 09/2024 |
| Union Financial, Inc. | Houston | TX | 02/2022 | 09/2024 |
| Shieldmaiden Financial | The Woodlands | TX | 05/2022 | 05/2025 |
| Pruco Securities, Llc | Houston | TX | 09/2024 | 11/2024 |
| The Prudential Insurance Co. Of America | Houston | TX | 09/2024 | 05/2025 |
| Lpl Enterprise, Llc | Houston | TX | 11/2024 | 05/2025 |
| Osaic Institutions, Inc. | Meriden | CT | 05/2025 | Present |
| Texas First Bank | Houston | TX | 05/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 2021-04-03 |
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