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Fermin Mesina

Osaic Institutions, INC.
23 Years of Experience
Chula Vista, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Fermin Mesina is a registered investment advisor at Osaic Institutions, INC., based in Chula Vista, CA, with 23 years of industry experience. Fermin 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

510 Broadway, Suite 8, Chula Vista, CA, 91910

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History

Regulatory History (3)
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.
Financial
February 2023
Final
Customer Dispute
January 2023
Settled
Customer Dispute
April 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Fermin is an agent for USMX Financial Group, selling property and casualty insurance since July 2020. This activity takes a few hours per week and is investment-related.

Employment History
Current Registrations
Osaic Institutions, INC.
January 2017 - Present · 9 yrs 9 mos
Osaic Institutions, INC.Broker
January 2017 - Present · 9 yrs 9 mos
Previous Registrations
First Brokerage America, L.L.C.
June 2016 - January 2017 · 7 mos
First Brokerage America, L.L.C.Broker
June 2016 - January 2017 · 7 mos
Insight Securities, INC.
May 2014 - June 2016 · 2 yrs 1 mo
Insight Securities, INC.Broker
May 2014 - June 2016 · 2 yrs 1 mo
J.P. Morgan Securities LLCBroker
October 2012 - May 2014 · 1 yr 7 mos
J.P. Morgan Securities LLC
October 2012 - May 2014 · 1 yr 7 mos
Chase Investment Services CORP.Broker
May 2011 - October 2012 · 1 yr 5 mos
Chase Investment Services CORP.
May 2011 - October 2012 · 1 yr 5 mos
Hsbc Securities (USA) INC.
April 2010 - April 2011 · 1 yr
Hsbc Securities (USA) INC.Broker
April 2010 - April 2011 · 1 yr
Wells Fargo Investments, LLC
March 2003 - April 2010 · 7 yrs 1 mo
Wells Fargo Investments, LLCBroker
February 2003 - April 2010 · 7 yrs 2 mos
State Registrations4 states
AZCAGANV
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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