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James Thomas

Osaic Institutions, Inc.

Norwich, CT

CRD 1066366

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Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • SOLICITATION SERVICES FOR OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2013-12-13
  • CT RA
    APPROVED
    Since 2013-12-13

Branch Locations

Norwich, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Infinex Investments, Inc. Meriden CT 11/2013 Present
  • 11/2013 → Present
    Infinex Investments, Inc.
    Meriden, CT
Previous Registrations
  • 2006-06-12 → 2009-04-06
    Harvest Capital Advisors, Llc
    Bozrah, CT
    Avon, CT
  • 2002-01-02 → 2006-06-12
    New England Securities
    Norwich, CT
    Norwich, CT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-06-22
S65 Uniform Investment Adviser Law Examination 1999-10-11
  • S63 Uniform Securities Agent State Law Examination
    2005-06-22
  • S65 Uniform Investment Adviser Law Examination
    1999-10-11

View on SEC IAPD

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