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Chad Michael Backes

Investment Adviser Representative at OSAIC INSTITUTIONS, INC.

New London, WICRD #4045291Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
11 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
ArizonaCaliforniaFloridaIllinoisMarylandMichiganMinnesotaMontanaOhioWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/30/2005
Series 63
Uniform Securities Agent State Law Examination
Passed 10/26/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 12/17/1999
Series 4
Registered Options Principal Examination
Passed 10/30/2003
Series 24
General Securities Principal Examination
Passed 5/24/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Institutions, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC INSTITUTIONS, INC.Current
7/13/2026New London, WI
OSAIC INSTITUTIONS, INC.Current
7/13/2026New London, WI
LPL FINANCIAL LLC
11/29/20177/13/2026Marshfield, WI
INVESTMENT CENTERS OF AMERICA, INC.
10/3/200112/5/2017New London, WI
SII INVESTMENTS, INC.
9/9/20053/2/2007Appleton, WI

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Chad Michael Backes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Chad Michael Backes - Financial Advisor in New London, WI | AdvisorFinder