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Arthur R. Garofalo

Osaic Institutions, Inc.

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About Arthur R. Garofalo

Arthur R. Garofalo is a financial advisor with over 13 years of experience in the industry. Arthur is currently registered with Osaic Institutions, Inc. Arthur has been associated with this firm since June 2011. Previously, Arthur was a registered representative for ROYAL ALLIANCE ASSOCIATES, INC. and GENWORTH FINANCIAL SECURITIES CORPORATION. Arthur's expertise includes financial planning, pension consulting, and educational seminars. Arthur holds the Series 66, Series 7 and SIE exams.

Firm Information

Arthur Garofalo is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Arthur Garofalo’s Registration & Firm History

MA

06/23/2011 - Present

Osaic Institutions, Inc. (LEXINGTON MA)

CT

02/25/2010 - 06/27/2011

ROYAL ALLIANCE ASSOCIATES, INC. (OLD GREENWICH CT)

MA

07/31/2009 - 03/19/2010

GENWORTH FINANCIAL SECURITIES CORPORATION (LEXINGTON MA)

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Licenses & Designations

BOTH

Issued 12/03/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/29/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Arthur R. Garofalo.
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