| Entity Name: | OSAIC INSTITUTIONS, INC. |
| Jurisdiction: | Connecticut |
| Legal type: | Stock |
| Citizenship: | Domestic |
| Status: | Active |
| Date Formed: | 07 Apr 1993 (Companies founded in April 1993) |
| Business ALEI: | 0284506 |
| Annual report due: | 07 Apr 2025 |
| NAICS code: | 523999 - Miscellaneous Financial Investment Activities |
| Business address: | 538 PRESTON AVE., MERIDEN, CT, 06450, United States |
| Mailing address: | 538 PRESTON AVE., MERIDEN, CT, United States, 06450 |
| ZIP code: | 06450 (Companies in New Haven, 06450) |
| County: | New Haven |
| Place of Formation: | CONNECTICUT |
| Total authorized shares: | 250000 |
| E-Mail: | Compliancemail@cscinfo.com |
| Type | Company Name | Company Number | State |
|---|---|---|---|
| Headquarter of | OSAIC INSTITUTIONS, INC. | 000-933-480 | ALABAMA |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 3070937 | NEW YORK |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 1880232 | NEW YORK |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 10059667 | ALASKA |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 20181126580 | COLORADO |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 622307 | IDAHO |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 629444 | IDAHO |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 1396563 | KENTUCKY |
| Headquarter of | OSAIC INSTITUTIONS, INC. | 93d5f77b-ab10-e111-aff2-001ec94ffe7f | MINNESOTA |
| CIK number | Mailing Address | Business Address | Phone | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| 914904 | 538 PRESTON AVENUE, MERIDEN, CT, 06450-4858 | 538 PRESTON AVENUE, MERIDEN, CT, 06450-4858 | 707-251-2135 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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| Form type | N-PX |
| File number | 028-23275 |
| Filing date | 2024-08-26 |
| Reporting date | 2024-06-30 |
| File | View File |
Filings since 2024-08-13
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2024-08-13 |
| Reporting date | 2024-06-30 |
| File | View File |
Filings since 2024-05-13
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2024-05-13 |
| Reporting date | 2024-03-31 |
| File | View File |
Filings since 2024-02-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2024-02-28 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2024-02-12
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2024-02-12 |
| Reporting date | 2023-12-31 |
| File | View File |
Filings since 2023-11-14
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2023-11-14 |
| Reporting date | 2023-09-30 |
| File | View File |
Filings since 2023-08-14
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2023-08-14 |
| Reporting date | 2023-06-30 |
| File | View File |
Filings since 2023-05-18
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2023-05-18 |
| Reporting date | 2023-03-31 |
| File | View File |
Filings since 2023-05-18
| Form type | 13F-NT |
| File number | 028-23275 |
| Filing date | 2023-05-18 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2023-03-01
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2023-03-01 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2023-03-01
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2023-03-01 |
| Reporting date | 2022-12-31 |
| File | View File |
Filings since 2022-02-25
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2022-02-25 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2022-02-25
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2022-02-25 |
| Reporting date | 2021-12-31 |
| File | View File |
Filings since 2021-03-01
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2021-03-01 |
| Reporting date | 2020-12-31 |
| File | View File |
Filings since 2020-02-27
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2020-02-27 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2020-02-27
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2020-02-27 |
| Reporting date | 2019-12-31 |
| File | View File |
Filings since 2019-03-01
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2019-03-01 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2019-03-01
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2019-03-01 |
| Reporting date | 2018-12-31 |
| File | View File |
Filings since 2018-03-01
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2018-03-01 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2018-03-01
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2018-03-01 |
| Reporting date | 2017-12-31 |
| File | View File |
Filings since 2017-02-28
| Form type | FOCUSN/A |
| File number | 008-46661 |
| Filing date | 2017-02-28 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2017-02-28
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2017-02-28 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2017-02-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2017-02-28 |
| Reporting date | 2016-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2016-02-29
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2016-02-29 |
| Reporting date | 2015-12-31 |
| File | View File |
Filings since 2015-02-27
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2015-02-27 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2015-02-27
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2015-02-27 |
| Reporting date | 2014-12-31 |
| File | View File |
Filings since 2014-02-28
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2014-02-28 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2014-02-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2014-02-28 |
| Reporting date | 2013-12-31 |
| File | View File |
Filings since 2013-02-28
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2013-02-28 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2013-02-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2013-02-28 |
| Reporting date | 2012-12-31 |
| File | View File |
Filings since 2012-02-28
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2012-02-28 |
| Reporting date | 2011-12-31 |
| File | View File |
Filings since 2012-02-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2012-02-28 |
| Reporting date | 2011-12-31 |
| File | View File |
Filings since 2011-02-22
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2011-02-22 |
| Reporting date | 2010-12-31 |
| File | View File |
Filings since 2011-02-22
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2011-02-22 |
| Reporting date | 2010-12-31 |
| File | View File |
Filings since 2010-09-29
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2010-09-29 |
| Reporting date | 2010-07-31 |
| File | View File |
Filings since 2010-09-29
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2010-09-29 |
| Reporting date | 2010-07-31 |
| File | View File |
Filings since 2009-09-25
| Form type | FOCUSN |
| File number | 008-46661 |
| Filing date | 2009-09-25 |
| Reporting date | 2009-07-31 |
| File | View File |
Filings since 2009-09-25
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2009-09-25 |
| Reporting date | 2009-07-31 |
| File | View File |
Filings since 2008-09-29
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2008-09-29 |
| Reporting date | 2008-07-31 |
| File | View File |
Filings since 2007-10-01
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2007-10-01 |
| Reporting date | 2007-07-31 |
| File | View File |
Filings since 2006-09-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2006-09-28 |
| Reporting date | 2006-07-31 |
| File | View File |
Filings since 2005-09-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2005-09-28 |
| Reporting date | 2005-07-31 |
| File | View File |
Filings since 2004-09-28
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2004-09-28 |
| Reporting date | 2004-07-31 |
| File | View File |
Filings since 2003-09-26
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2003-09-26 |
| Reporting date | 2003-07-31 |
| File | View File |
Filings since 2002-09-26
| Form type | X-17A-5 |
| File number | 008-46661 |
| Filing date | 2002-09-26 |
| Reporting date | 2002-07-31 |
| File | View File |
| Plan Name | Plan Year | EIN/PN | Received | Sponsor | Total number of participants | |||||||||||||||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| INFINEX INVESTMENTS, INC. 401(K) PROFIT SHARING PLAN | 2023 | 061367288 | 2024-06-26 | INFINEX INVESTMENTS, INC. | 98 | |||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||||||||
| Role | Plan administrator |
| Date | 2024-06-26 |
| Name of individual signing | JEFFREY GREEN |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2023-07-16 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2022-04-26 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2021-07-16 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2020-07-01 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2019-06-04 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2018-07-06 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| Role | Employer/plan sponsor |
| Date | 2018-07-06 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2017-06-22 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2016-07-29 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| File | View Page |
| Three-digit plan number (PN) | 001 |
| Effective date of plan | 2008-01-01 |
| Business code | 523120 |
| Sponsor’s telephone number | 2035996000 |
| Plan sponsor’s address | 538 PRESTON AVENUE, MERIDEN, CT, 06450 |
Signature of
| Role | Plan administrator |
| Date | 2015-07-20 |
| Name of individual signing | WILLIAM CUMMINGS |
| Valid signature | Filed with authorized/valid electronic signature |
| Name | Role |
|---|---|
| CORPORATION SERVICE COMPANY | Agent |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| Matthew Schlueter | Director | Suite 750 2300 Windy Ridge Parkway, Atlanta, GA, 30339, United States | 10 EXCHANGE PLACE SUITE 1410, JERSEY CITY, NJ, 07302, United States |
| Greg Cornick | Director | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States |
| Stephen P. Amarante | Director | 538 PRESTON AVE., MERIDEN, CT, 06450, United States | 538 PRESTON AVE., MERIDEN, CT, 06450, United States |
| Name | Role | Business address | Residence address |
|---|---|---|---|
| David Schmidt | Officer | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States |
| Nina McKenna | Officer | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States | Suite 2000 20 E. Thomas Rd, Phoenix, AZ, 85012, United States |
| Stephen P. Amarante | Officer | 538 PRESTON AVE., MERIDEN, CT, 06450, United States | 538 PRESTON AVE., MERIDEN, CT, 06450, United States |
| Type | Old value | New value | Date of change |
|---|---|---|---|
| Name change | INFINEX INVESTMENTS, INC. | OSAIC INSTITUTIONS, INC. | 2023-10-23 |
| Name change | CONNECTICUT ASSOCIATION SECURITIES, INC. | INFINEX INVESTMENTS, INC. | 1998-12-16 |
| Filing number | Filing date | Effective date | Filing category | Filing type | Report year |
|---|---|---|---|---|---|
| BF-0012389213 | 2024-05-16 | No data | Annual Report | Annual Report | No data |
| BF-0012030415 | 2023-10-23 | 2023-10-23 | Amendment | Certificate of Amendment | No data |
| BF-0011394272 | 2023-04-25 | No data | Annual Report | Annual Report | No data |
| BF-0010277581 | 2022-06-07 | No data | Annual Report | Annual Report | 2022 |
| BF-0010461495 | 2022-01-14 | 2022-01-14 | Mass Agent Change � Address | Agent Address Change | No data |
| 0007307378 | 2021-04-22 | No data | Annual Report | Annual Report | 2021 |
| 0006950703 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006943532 | 2020-07-06 | 2020-07-06 | Change of Agent Address | Agent Address Change | No data |
| 0006900842 | 2020-05-08 | No data | Annual Report | Annual Report | 2020 |
| 0006537871 | 2019-04-19 | No data | Annual Report | Annual Report | 2019 |
Date of last update: 04 Nov 2024
Sources: Connecticut's Official State Website
