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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

STEPHEN VINCENT DOLAN

Advisor at OSAIC INSTITUTIONS, INC.

Massapequa, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 24, 2007 to Sep 14, 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: May 24, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: May 24, 1996
First registration: Oct 24, 2007
Dual registered: yes, broker-dealer
Other names: STEPHEN VINCENT DOLAN
IAPD individual key: 1439884

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	Jul 9, 2024	n/a	yes	Massapequa, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2019	Jul 23, 2024	no	Huntington, NY\|Huntington Station, NY\|Bay Shore, NY\|Farmingdale, NY\|Jacksonville, FL\|Holbrook, NY\|Port Jefferson, NY\|Farmingdale, NY\|Holbrook, NY\|Kings Park, NY	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jun 30, 2017	May 23, 2019	no	New York, NY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Apr 14, 2017	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Oct 24, 2007	Oct 1, 2012	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	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
CITIGROUP GLOBAL MARKETS INC.	OSAIC INSTITUTIONS, INC.	Jul 23, 2024	Jul 9, 2024	-14	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	CITIGROUP GLOBAL MARKETS INC.	May 23, 2019	May 29, 2019	6	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	B RILEY WEALTH MANAGEMENT	Apr 14, 2017	Jun 30, 2017	77	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (5)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Jul 9, 2024 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2019 to Jul 23, 2024factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jun 30, 2017 to May 23, 2019factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Apr 14, 2017factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Oct 24, 2007 to Oct 1, 2012factForm ADV

Dated events

Occurred
Jul 23, 2024
Advisor changed firm
Stephen Vincent Dolan left Citigroup Global Markets Inc. for Osaic Institutions, Inc. (registered 2024-07-09)
Form ADVobserved 5 days ago