Daniel Paul Soucy

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

Authority	Category	Status	Date
NH	RA	APPROVED	2021-07-08

NH RA
APPROVED

Since 2021-07-08

Branch Locations

Manchester, NH • United States

Hudson, NH • 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

Organization	City	State	From	To
Nationwide Insurance Co	Bedford	NH	11/1999	Present
Nationwide Advisory Services	Columbus	OH	12/1999	09/2019
Infinex Investments Inc.	Nashua	NH	10/2019	Present

11/1999 → Present

Nationwide Insurance Co

Bedford, NH
12/1999 → 09/2019

Nationwide Advisory Services

Columbus, OH
10/2019 → Present

Infinex Investments Inc.

Nashua, NH

Other Businesses

1.) MARKETS MEDICARE SUPPLEMENTS AND LTC INSURANCE THROUGH SHIELDS BROKERAGE SINCE 07/01/2015. LOCATED AT 21 HAMPTON RD STE 106 IN EXETER, NH 03833. SPENDS 12 HOURS/MONTH DURING TRADING HOURS. NOT INVESTMENT RELATED. 2.)Notary public and Justice of the Peace in the state of New Hampshire since 12/2016. Services offered and compensation received on an as needed basis. Spends 10 hours/month outside of trading hours. Not investment related.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-07-07
S63	Uniform Securities Agent State Law Examination	1986-05-22

S65 Uniform Investment Adviser Law Examination

2021-07-07
S63 Uniform Securities Agent State Law Examination

1986-05-22

Other Names

Dan Soucy

View on SEC IAPD