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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

ROSEMARY CAROLINA ABREU

Advisor at OSAIC INSTITUTIONS, INC.

New York, NY | Brooklyn, NY

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Search this name across graphsid dfx:ria:cdd635c6-a3bf-12c1-9b27-20176262b986

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 12, 2021 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: Dec 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Dec 9, 2004
First registration: Apr 12, 2021
Dual registered: yes, broker-dealer
Other names: Rosemary C Abreu|ROSEMARY ABREU|ROSEMARY C ABREU-BAEZ|ROSEMARY CAROLINA ABREU
IAPD individual key: 4868136

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	Mar 16, 2026	n/a	yes	New York, NY\|Brooklyn, NY	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 6, 2023	Mar 24, 2026	no	CORONA, NY\|ASTORIA, NY\|CORONA, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|BAYSIDE, NY\|ASTORIA, NY\|ASTORIA, NY\|CORONA, NY\|LITTLE NECK, NY\|Little Neck, NY\|BAYSIDE, NY\|LITTLE NECK, NY	Previous registration
RBC SECURITIES, INC.	Bd affiliated wealth	Sep 23, 2021	Nov 3, 2023	no	NEW YORK, NY\|LOS ANGELES, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 12, 2021	Jul 30, 2021	no	ASTORIA, 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
LPL FINANCIAL LLC	OSAIC INSTITUTIONS, INC.	Mar 24, 2026	Mar 16, 2026	-8	Firm change	Ibd to ibd
RBC SECURITIES, INC.	LPL FINANCIAL LLC	Nov 3, 2023	Dec 6, 2023	33	Firm change	RIA to ibd
CETERA INVESTMENT ADVISERS LLC	RBC SECURITIES, INC.	Jul 30, 2021	Sep 23, 2021	55	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
Mar 16, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 6, 2023 to Mar 24, 2026factForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Sep 23, 2021 to Nov 3, 2023factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Apr 12, 2021 to Jul 30, 2021factForm ADV

Dated events

Occurred
Mar 24, 2026
Advisor changed firm
Rosemary Carolina Abreu left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2026-03-16)
Form ADVobserved 6 days ago
Occurred
Nov 3, 2023
Advisor changed firm
Rosemary Carolina Abreu left Rbc Securities, Inc. for Lpl Financial Llc (registered 2023-12-06)
Form ADVobserved 6 days ago