Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROBERT RICHARD ESPOSITO
CRD#: 4511232
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 Manchester Center, VT
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2020 (11 years)2 FIRMS2020 - 2024 (3 years)2 FIRMS2024 - Present (1 year)BAXA ADVISORS, LLC (CRD# 6627)2007 - 2008 (1 year)BJ.P. MORGAN INSTITUTIONAL INVE... (CRD# 102920)2002 - 2003 (<1 year)IAAXA ADVISORS, LLC (CRD# 6627)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Colorado 6/17/2024
B
North Carolina 6/14/2024
B
Connecticut 6/14/2024
B
Vermont 6/14/2024
B
Florida 6/14/2024
IA
Vermont 6/14/2024
B
New Jersey 6/14/2024
B
Wisconsin 6/14/2024
B
New York 6/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
Manchester Center, VT
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
Manchester Center, VT
Registered with this firm since 6/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/18/2020 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) MANCHESTER CENTER, VT
B
 09/18/2020 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) Manchester Center, VT
IA
 11/13/2008 - 09/18/2020 SSN ADVISORY, INC. (CRD#:126090) MANCHESTER CENTER, VT
B
 11/11/2008 - 09/18/2020 SECURITIES SERVICE NETWORK, LLC (CRD#:13318) Manchester Center, VT
IA
 04/23/2008 - 11/18/2008 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 11/16/2007 - 11/18/2008 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 08/02/2002 - 03/18/2003 J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (CRD#:102920) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.