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Detailed Report
GERALD JAMES ROCHELEAU III
GERALD JAMES ROCHELEAU
CRD#: 6125082
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 3535 GRANDVIEW PARKWAY
SUITE 500
Birmingham, AL 35243
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BSECURITIES AMERICA, INC. (CRD# 10205)2019 - 2024 (5 years)BCENTAURUS FINANCIAL, INC. (CRD# 30833)2015 - 2018 (3 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)2013 - 2013 (<1 year)IASECURITIES AMERICA ADVISORS, INC. (CRD# 110518)2021 - 2024 (3 years)
Disclosure(s)
View By:
11/8/2013
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 6/14/2024
B
Michigan 6/14/2024
IA
Alabama 6/14/2024
B
Texas 6/14/2024
B
Colorado 6/14/2024
IA
Texas 9/26/2024
IA
Colorado 6/14/2024
B
Virginia 6/14/2024
B
Iowa 2/20/2025
IA
Virginia 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)
3535 GRANDVIEW PARKWAY SUITE 500, Birmingham, AL 35243
Registered with this firm since 6/14/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
3535 GRANDVIEW PARKWAY SUITE 500, Birmingham, AL 35243
Registered with this firm since 6/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/04/2021 - 06/14/2024 SECURITIES AMERICA ADVISORS, INC. (CRD#:110518) BIRMINGHAM, AL
B
 04/08/2019 - 06/14/2024 SECURITIES AMERICA, INC. (CRD#:10205) Birmingham, AL
B
 01/15/2015 - 06/29/2018 CENTAURUS FINANCIAL, INC. (CRD#:30833) LEESBURG, VA
B
 10/29/2013 - 11/25/2013 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) LEAWOOD, KS
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.