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Detailed Report
SERAFINO FRANK MAIORANO
CRD#: 1963149
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 8754 BAY 16TH STREET
BROOKLYN, NY 11214
Registration History
1995200020052010201520202025IAOSAIC WEALTH, INC. (CRD# 23131)2021 - Present (4 years)BOSAIC WEALTH, INC. (CRD# 23131)2002 - Present (22 years)BPRIME CAPITAL SERVICES, INC. (CRD# 18334)1999 - 2002 (3 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1991 - 1999 (7 years)IAASSET & FINANCIAL PLANNING, LTD (CRD# 110709)2002 - 2002 (<1 year)
Disclosure(s)
View By:
10/6/2006
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/17/2004
B
New Jersey 12/2/2002
B
Arizona 8/31/2005
IA
New Jersey 8/8/2024
B
California 3/19/2003
B
New Mexico 1/6/2023
B
Colorado 2/1/2012
B
New York 12/2/2002
B
Connecticut 3/6/2003
IA
New York 4/26/2021
B
Delaware 11/5/2004
B
North Carolina 10/11/2006
B
District of Columbia 1/8/2019
B
Ohio 3/19/2003
B
Florida 12/2/2002
B
Pennsylvania 12/2/2002
IA
Florida 6/7/2024
B
Puerto Rico 12/2/2002
B
Georgia 12/2/2002
B
Rhode Island 11/9/2011
B
Illinois 12/2/2002
B
South Carolina 5/13/2008
B
Indiana 7/10/2006
IA
South Carolina 9/17/2021
B
Louisiana 12/5/2016
B
Tennessee 7/19/2024
B
Maryland 3/19/2003
B
Texas 11/14/2007
B
Massachusetts 3/19/2003
B
Vermont 11/8/2022
B
Nebraska 3/31/2015
B
Virginia 3/19/2003
B
Nevada 10/17/2011
B
Washington 11/9/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
8754 BAY 16TH STREET, BROOKLYN, NY 11214
7-9 MAIN STREET, SIDNEY, NY 13838
Registered with this firm since 4/26/2021
B
OSAIC WEALTH, INC. (CRD#:23131)
8754 BAY 16TH STREET, BROOKLYN, NY 11214
7-9 MAIN STREET, SIDNEY, NY 13838
Registered with this firm since 12/2/2002
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2002 - 12/02/2002 ASSET & FINANCIAL PLANNING, LTD (CRD#:110709) BROOKLYN, NY
B
 01/13/1999 - 12/02/2002 PRIME CAPITAL SERVICES, INC. (CRD#:18334) POUGHKEEPSIE, NY
B
 09/23/1991 - 01/13/1999 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.