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ROBERT P COLETTA
ROB COLETTA, ROBERT PRING COLETTA
CRD#: 1923707
IA
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OSAIC WEALTH, INC.CRD#: 23131 68 BRIAN CIRCLE
SANTA ROSA BEACH, FL 32459
SANTA ROSA BEACH, FL 32459
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3/23/2004
Customer Dispute
Closed-No Action
State Registrations
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Alabama 10/10/2023
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Florida 10/4/2023
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Florida 10/4/2023
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Iowa 10/3/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/4/2023
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Registered with this firm since 10/3/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/01/2018 - 10/06/2023 | SANTA ROSA BEACH, FL | |
B | 02/01/2018 - 10/06/2023 | SANTA ROSA BEACH, FL | |
IA | 01/19/2017 - 02/02/2018 | Santa Rosa Beach, FL | |
B | 01/17/2017 - 02/02/2018 | Santa Rosa Beach, FL | |
IA | 08/31/2009 - 02/06/2017 | SANTA ROSA BEACH, FL | |
B | 08/31/2009 - 02/06/2017 | SANTA ROSA BEACH, FL | |
IA | 02/13/2009 - 09/02/2009 | MIRAMAR BEACH, FL | |
B | 02/13/2009 - 09/02/2009 | MIRAMAR BEACH, FL | |
IA | 12/08/2006 - 03/11/2009 | MIRAMAR BEACH, FL | |
B | 12/06/2006 - 03/11/2009 | MIRAMAR BEACH, FL | |
IA | 03/04/2005 - 11/29/2006 | SHALIMAR, FL | |
B | 12/02/2004 - 11/29/2006 | SHALIMAR, FL | |
B | 12/02/2004 - 11/29/2006 | SHALIMAR, FL | |
IA | 11/14/2003 - 11/08/2004 | DESTIN, FL | |
B | 10/31/2003 - 11/08/2004 | WEEHAWKEN, NJ | |
IA | 04/12/2001 - 11/18/2003 | DESTIN, FL | |
B | 04/12/2001 - 11/18/2003 | MEMPHIS, TN | |
B | 05/24/1999 - 04/12/2001 | BIRMINGHAM, AL | |
B | 08/11/1994 - 05/03/1999 | BIRMINGHAM, AL | |
B | 11/05/1990 - 08/05/1994 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.