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CFP
SD
CFP

Stephen Dolan

Osaic Institutions, INC.
28 Years of Experience
Massapequa, NY
2 DisclosuresBroker
View SEC Summary
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Stephen Dolan is a CFP-designated registered investment advisor at Osaic Institutions, INC., based in Massapequa, NY, with 28 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

943 Carmans Road, Massapequa, NY, 11758

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2009
Settled
Customer Dispute
March 2009
Dismissed
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Osaic Institutions, INC.Broker
July 2024 - Present · 2 yrs 3 mos
Osaic Institutions, INC.
July 2024 - Present · 2 yrs 3 mos
Previous Registrations
Citigroup Global Markets INC.
May 2019 - July 2024 · 5 yrs 2 mos
Citigroup Global Markets INC.Broker
May 2019 - July 2024 · 5 yrs 2 mos
B. Riley Wealth ManagementBroker
June 2017 - May 2019 · 1 yr 11 mos
B Riley Wealth Management
June 2017 - May 2019 · 1 yr 11 mos
J.P. Morgan Securities LLC
October 2012 - April 2017 · 4 yrs 6 mos
J.P. Morgan Securities LLCBroker
October 2012 - April 2017 · 4 yrs 6 mos
Chase Investment Services CORP.
October 2007 - October 2012 · 5 yrs
Chase Investment Services CORP.Broker
July 2007 - October 2012 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2002 - July 2007 · 5 yrs 3 mos
Ffp Securities, INC.Broker
August 1999 - November 2000 · 1 yr 3 mos
Alliance Fund Distributors, INC.Broker
June 1997 - October 1998 · 1 yr 4 mos
Titan/value Equities Group, INC.Broker
April 1996 - July 1997 · 1 yr 3 mos
E. F. Hutton & Company INCBroker
November 1986 - March 1987 · 4 mos
State Registrations5 states
CTFLNJNYVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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