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Peter Klarides

Osaic Institutions, INC.
39 Years of Experience
New York, NY
5 DisclosuresBroker
View SEC Summary
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Peter Klarides is a registered investment advisor at Osaic Institutions, INC., based in New York, NY, with 39 years of industry experience. Peter 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

85 Broad Street 10th Floo, New York, NY, 10004

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History

Regulatory History (5)
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
December 2017
Denied
Customer Dispute
May 2008
Settled
Customer Dispute
April 2008
Settled
Customer Dispute
November 2002
Settled
Regulatory
December 1989
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Peter is a bank employee at Popular Bank since October 2020. This investment-related activity takes nearly full-time hours.

Employment History
Current Registrations
Osaic Institutions, INC.
November 2020 - Present · 5 yrs 11 mos
Osaic Institutions, INC.Broker
October 2020 - Present · 6 yrs
Previous Registrations
Hsbc Securities (USA) INC.
October 2007 - October 2020 · 13 yrs
Hsbc Securities (USA) INC.Broker
January 2005 - October 2020 · 15 yrs 9 mos
Hsbc Brokerage (USA) INC.Broker
July 2001 - January 2005 · 3 yrs 6 mos
Invest Financial CorporationBroker
March 1996 - July 2001 · 5 yrs 4 mos
Mds Securities IncorporatedBroker
October 1994 - February 1996 · 1 yr 4 mos
Wall Street Investor ServicesBroker
November 1993 - October 1994 · 11 mos
Dime Securities of Ny, INC.Broker
April 1993 - November 1993 · 7 mos
First Montauk Securities CORP.Broker
May 1991 - April 1993 · 1 yr 11 mos
H. Starr Financial CORP.Broker
February 1991 - April 1991 · 2 mos
Robert Todd Financial CORP.Broker
September 1990 - December 1990 · 3 mos
Baird, Patrick & CO., INC.Broker
March 1990 - August 1990 · 5 mos
South Richmond Securities, INC.Broker
December 1989 - March 1990 · 3 mos
V P Securities, INC.Broker
November 1989 - December 1989 · 1 mo
Donald & CO. Securities INC.Broker
November 1989 - December 1989 · 1 mo
William M. Cadden & CO., INC.Broker
March 1989 - November 1989 · 8 mos
Investors Center, INC.Broker
March 1987 - March 1989 · 2 yrs
State Registrations15 states
AZCACTFLILMDNCNJNYPAPRSCTXVTWA
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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