New York, NY East 42nd Street Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
OSAIC Institutions, INC.
Enterprise
Firm-wide stats for OSAIC Institutions, INC.
About
Osaic Institutions, Inc. is an SEC‑registered investment adviser that serves individuals (including high‑net‑worth clients), ERISA retirement plans, trusts, estates and corporate clients through a network of investment adviser representatives who are often also registered as broker‑dealer representatives. The firm provides customized advisory services (discretionary and non‑discretionary), financial planning and consulting, ERISA plan services, wrap programs, third‑party asset manager referrals, and access to alternative investments and lending solutions.
Osaic’s model delegates investment analysis and account management to its IARs while providing firm supervision rather than centrally managing most accounts, and clients may elect discretionary authority or retain pre‑approval control over transactions. As disclosed in its brochure, the firm reported approximately $4.11 billion in discretionary assets and $2.39 billion in non‑discretionary assets as of December 31, 2025, and commonly operates through co‑advisory, promoter and third‑party manager arrangements and wrap programs.
What is distinctive about Osaic is its hybrid adviser/broker‑dealer structure — it is registered as both an SEC adviser and a FINRA member and maintains broker‑dealer registrations across all states — combined with a sizable non‑discretionary book, a lending marketplace (CapitalHub) and platform access to alternative investments (via CAIS). The firm’s use of independent third‑party promoters compensated on a percentage of advisory fees and its extensive affiliations with other Osaic entities (including TPAM and subadvisory relationships) create a service and distribution model that differs from many enterprise peers.
Based on OSAIC Institutions, INC.
Location
122 East 42nd Street
New York NY 10168
Advisors at this office
4
Advisors at this office
Jerry C
Series 63, Series 66
New York, NY
OSAIC Institutions, INC.
Jerry Celentano is a financial advisor at OSAIC Institutions, INC. with 27 years of industry experience. He holds Series 63 and Series 66 designations and has worked at firms including Apple Bank, Infinex Investments, Santander Securities, and HSBC Securities. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, ERISA retirement plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm provides customized advisory and financial planning services, offering both discretionary and non-discretionary account management with access to alternative investments and lending solutions.
Greggory B
Series 63, Series 66
New York, NY
OSAIC Institutions, INC.
Greggory Bantum is a financial advisor with OSAIC Institutions, Inc. in New York, NY, holding Series 63 and Series 66 licenses with seven years of industry experience. He previously worked at J.P. Morgan Securities LLC and JPMorgan Chase Bank, N.A. Bantum also serves as a DJ for Good Fella Nation Inc., a multimedia company involved in music production, event promotion, photography, and branded clothing. OSAIC Institutions, Inc. is an SEC-registered investment adviser serving individuals, retirement plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm offers customized advisory services, financial planning, ERISA plan services, and access to alternative investments, operating a hybrid adviser/broker-dealer model with both discretionary and non-discretionary account management.
Annie W
Series 66
New York, NY
OSAIC Institutions, INC.
Annie Wang is a financial advisor at OSAIC Institutions, Inc. with 19 years of industry experience and a Series 66 designation. She has worked at HSBC Bank USA, N.A. for 15 years and held prior roles at Merrill and Chase Investment Services Corp. Outside of her advisory work, she is involved in a personal care program for her mother. OSAIC Institutions, Inc. serves individuals, ERISA retirement plans, trusts, estates, and corporate clients through a network of investment adviser representatives. The firm provides customized advisory services, financial planning, and access to alternative investments, operating with a hybrid adviser and broker‑dealer structure.
John S
Series 63, Series 65
New York, NY
OSAIC Institutions, INC.
John Sudresianu is a financial advisor with OSAIC Institutions, Inc. He holds Series 63 and Series 65 licenses and has 27 years of industry experience. His career includes roles at Infinex Investments, Inc., Apple Bank, LPL Financial, and HSBC Securities (USA) Inc. OSAIC Institutions, Inc. serves individuals, ERISA retirement plans, trusts, estates, and corporate clients by providing customized advisory services, financial planning, and access to alternative investments through a hybrid adviser/broker-dealer model that combines firm supervision with delegated investment management.
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