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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 |
| NY | RA | APPROVED | 2025-07-25 |
| TX | RA | APPROVED_RES | 2025-07-25 |
Branch Locations
300 Executive Dr Suite 350, West Orange, NJ 07052 • United States
Great Neck, NY • 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 |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Verona | NJ | 09/1992 | 06/2020 |
| Ameriprise Financial Services, Llc | West Orange | NJ | 06/2020 | 07/2025 |
| Osaic Institutions, Inc. | Meriden | CT | 07/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-09-27 |
| S65 | Uniform Investment Adviser Law Examination | 2005-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 1988-04-27 |
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