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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

ALBERT ANDREW SMITH

Advisor at OSAIC INSTITUTIONS, INC.

Roslindale, MA | West Roxbury, MA | MERIDEN, CT

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC INSTITUTIONS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 17, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 17, 1993
First registration: Sep 24, 2001
Dual registered: yes, broker-dealer
Other names: ALBERT ANDREW SMITH
IAPD individual key: 2213278

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Jan 4, 2024	n/a	yes	Roslindale, MA\|West Roxbury, MA\|MERIDEN, CT\|West Roxbury, MA	Current employment
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Mar 26, 2018	Sep 14, 2023	no	Braintree, MA\|WEYMOUTH, MA\|Weymouth, MA\|WEYMOUTH, MA\|Weymouth, MA\|Pembroke, MA\|HINGHAM, MA\|Norwell, MA	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Sep 19, 2012	Mar 15, 2018	no	Kingston, MA\|Bridgewater, MA\|HALIFAX, MA\|MIDDLEBORO, MA\|Westport, MA\|LEXINGTON, MA\|Worcester, MA\|Framingham, MA\|Pembroke, MA\|DUXBURY, MA\|Framingham, MA\|DUXBURY, MA\|Hingham, MA\|HULL, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2008	Sep 19, 2012	no	DUXBURY, MA\|MIDDLEBORO, MA\|MATTAPAN, MA\|KINGSTON, MA\|PEMBROKE, MA\|HALIFAX, MA\|BRIDGEWATER, MA\|MARSHFIELD, MA\|MIDDLEBORO, MA\|HALIFAX, MA\|BRIDGEWATER, MA\|PEMBROKE, MA\|HALIFAX, MA\|MIDDLEBORO, MA\|BRIDGEWATER, MA\|MIDDLEBORO, MA	Previous registration
IFMG SECURITIES, INC.	n/a	Jul 29, 2004	May 27, 2008	no	MATTAPAN, MA\|MARSHFIELD, MA\|DUXBURY, MA\|KINGSTON, MA\|KINGSTON, MA\|PEMBROKE, MA\|MIDDLEBORO, MA\|HALIFAX, MA\|BRIDGEWATER, MA	Previous registration
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	Sep 24, 2001	Jul 23, 2004	no	KINGSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SANTANDER SECURITIES	OSAIC INSTITUTIONS, INC.	Mar 15, 2018	Mar 26, 2018	11	Firm change	Other
LPL FINANCIAL LLC	SANTANDER SECURITIES	Sep 19, 2012	Sep 19, 2012	0	Bulk transfer	Other
IFMG SECURITIES, INC.	LPL FINANCIAL LLC	May 27, 2008	May 27, 2008	0	Bulk transfer	Other
OSAIC INSTITUTIONS, INC.	IFMG SECURITIES, INC.	Jul 23, 2004	Jul 29, 2004	6	Firm change	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: previous registration
Mar 26, 2018 to Sep 14, 2023factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Sep 19, 2012 to Mar 15, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 27, 2008 to Sep 19, 2012factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Jul 29, 2004 to May 27, 2008factForm ADV

Dated events

No dated event names this entity yet.