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Investment Adviser Firm Summary
OSAIC INSTITUTIONS, INC. ( CRD # 35371/SEC#:801-67242,8-46661 )
CONNECTICUT ASSOCIATION SECURITIES, INC., OSAIC INSTITUTIONS, INC., INFINEX INVESTMENTS, INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/2/2006
ConnecticutTerminated11/22/2006
FloridaTerminated11/22/2006
IndianaTerminated11/22/2006
MaineTerminated12/7/2006
MassachusettsTerminated3/23/2007
New HampshireTerminated11/22/2006
OhioTerminated11/22/2006
PennsylvaniaTerminated11/22/2006
Rhode IslandTerminated11/22/2006
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
Alabama1/17/2007
Alaska3/4/2010
Arizona9/13/2007
Arkansas6/6/2013
California3/4/2010
Colorado9/13/2007
Connecticut11/14/2006
Delaware3/8/2010
District of Columbia3/4/2010
Florida11/15/2006
Georgia3/4/2010
Hawaii3/4/2010
Idaho3/4/2010
Illinois1/17/2008
Indiana11/14/2006
Iowa7/26/2018
Kansas1/5/2016
Kentucky9/13/2007
Louisiana3/4/2010
Maine11/14/2006
Maryland1/7/2008
Massachusetts11/14/2006
Michigan11/14/2006
Minnesota3/4/2010
Mississippi8/26/2011
Missouri3/4/2010
Montana3/30/2020
Nebraska3/4/2010
Nevada3/4/2010
New Hampshire11/14/2006
New Jersey11/20/2006
New Mexico3/4/2010
New York11/14/2006
North Carolina1/7/2008
North Dakota3/4/2010
Ohio11/14/2006
Oklahoma3/31/2014
Oregon3/4/2010
Pennsylvania11/14/2006
Puerto Rico1/14/2015
Rhode Island11/14/2006
South Carolina3/4/2010
South Dakota3/30/2020
Tennessee1/8/2008
Texas9/13/2007
Utah9/13/2007
Vermont9/13/2007
Virgin Islands1/3/2017
Virginia7/20/2007
Washington9/13/2007
West Virginia4/10/2007
Wisconsin11/18/2009
Wyoming3/30/2020
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.