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Current Employers
Osaic Institutions, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-07-09
  • NY RA
    APPROVED
    Since 2024-07-09

Branch Locations

943 Carmans Road, Massapequa, NY 11758 • 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
J.P. Morgan Securities Llc New York NY 10/2012 04/2017
Wunderlich Securities, Inc. Memphis TN 06/2017 04/2019
Citigroup Huntington NY 04/2019 07/2024
Unemployed Kings Park NY 05/2017 05/2017
Osaic Istitutions, Inc. Meriden CT 07/2024 Present
Apple Bank Massapequa NY 07/2024 Present
  • 10/2012 → 04/2017
    New York, NY
  • 06/2017 → 04/2019
    Wunderlich Securities, Inc.
    Memphis, TN
  • 04/2019 → 07/2024
    Citigroup
    Huntington, NY
  • 05/2017 → 05/2017
    Unemployed
    Kings Park, NY
  • 07/2024 → Present
    Osaic Istitutions, Inc.
    Meriden, CT
  • 07/2024 → Present
    Apple Bank
    Massapequa, NY
Previous Registrations
  • 2019-05-29 → 2024-07-23
    Jacksonville, FL
    Bay Shore, NY
    Farmingdale, NY
    Huntington Station, NY
    Huntington, NY
    Holbrook, NY
    Port Jefferson, NY
    Holbrook, NY
    Farmingdale, NY
    Kings Park, NY
  • 2017-06-30 → 2019-05-23
    B. Riley Wealth Management
    New York, NY
  • 2012-10-01 → 2017-04-14
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2007-10-24 → 2012-10-01
    Chase Investment Services Corp.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-15
S63 Uniform Securities Agent State Law Examination 1996-05-24
  • S66 Uniform Combined State Law Examination
    2007-10-15
  • S63 Uniform Securities Agent State Law Examination
    1996-05-24
Designations
Other Names
  • Stephen Vincent Dolan

View on SEC IAPD

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