Robert J. Berrin

OSAIC WEALTH

BOCA RATON, FL 33487

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CRD#: 1047871

Professional summary

Robert Joel Berrin is a registered financial advisor currently at OSAIC WEALTH, INC. located in Boca Raton, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SECURITIES AMERICA ADVISORS-IAR-INVESTMENT ADVISORY-INVESTMENT RELATED-START DATE 9/2016 LOCATED AT 6501 CONGRESS AVE, STE 100, BOCA RATON, FL 33487 CHIRO CARE OF NEW YORK POSITION: SALES NATURE: SELLING MEMBERSHIP TO LARGE EMPLOYERS TO UTILIZE A NATIONWIDE NETWORK OF CHIROPRACTORS FOR THEIR EMPLOYEES INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2015 ADDRESS: 6501 Congress Ave Ste 100, Boca Raton FL 33487-2840, United States DESCRIPTION: SELLING MEMBERSHIP TO LARGE EMPLOYERS TO UTILIZE A NATIONWIDE NETWORK OF CHIROPRACTORS FOR THEIR EMPLOYEES BERRIN MGMT GROUP POSITION: PRESIDENT NATURE: INSURANCE AND ANNUITIES INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 04/15/2000 ADDRESS: 6501 Congress Ave Ste 100, Boca Raton FL 33487-2840, United States DESCRIPTION: SELLING LIFE INSURANCE FIXED AND INDEXED ANNUITIES AND UL, WHOLE LIFE, TERM INSURANCE ROBERT J. BERRIN ADVISORY POSITION: president NATURE: SECURITIES AMERICA ADVISORS-IAR-INVESTMENT ADVISORY-INVESTMENT RELATED-START DATE 9/2016 LOCATED AT 6501 CONGRESS AVE., SUITE 100, BOCA RATON, FL. 33487 INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 09/01/2016 ADDRESS: 6501 CONGRESS AVE. SUITE 100, BOCA RATON FL 33487, United States DESCRIPTION: Advisory BERRIN MGMT GROUP POSITION: PRESIDENT NATURE: INSURANCE AND ANNUITIES INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 04/15/2000 ADDRESS: 6501 Congress Ave Ste 100, Boca Raton FL 33487-2840, United States DESCRIPTION: SELLING LIFE INSURANCE FIXED AND INDEXED ANNUITIES AND UL, WHOLE LIFE, TERM INSURANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joel Berrin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Joel Berrin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 6501 Congress Avenue Ste 100, Boca Raton, FL 33487

RIA

CRD#: 23131

BOCA RATON, FL

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 6501 Congress Avenue Ste 100, Boca Raton, FL 33487

RIA

CRD#: 23131

BOCA RATON, FL

Past

October 13, 2016 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Boca Raton, FL

Past

September 23, 2016 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

BOCA RATON, FL

Past

April 9, 2007 - October 11, 2016

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

BOCA RATON, FL

Past

August 3, 2006 - September 23, 2016

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

BOCA RATON, FL

Past

February 2, 2004 - August 11, 2006

GWN SECURITIES INC.

CRD#: 128929

BOCA RATON, FL

Past

April 7, 2000 - February 2, 2004

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

August 6, 1996 - April 5, 2000

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

December 22, 1992 - August 12, 1996

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

January 18, 1991 - December 16, 1992

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

October 14, 1982 - January 28, 1991

LEGEND CAPITAL CORPORATION

CRD#: 4149

PALM BEACH GARDENS, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/14/2024)

Colorado
(6/14/2024)

Connecticut
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(6/14/2024)

Georgia
(6/14/2024)

Indiana
(6/14/2024)

Maine
(6/14/2024)

Massachusetts
(6/14/2024)

New York
(6/14/2024)

IAR

New York
(6/14/2024)

North Carolina
(6/14/2024)

North Dakota
(6/14/2024)

Rhode Island
(6/14/2024)

South Carolina
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

Washington
(4/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 12/12/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/13/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/27/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert J. Berrin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Joel Berrin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Joel Berrin's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

GWN SECURITIES INC.

PMG SECURITIES CORPORATION

PRIME CAPITAL SERVICES, INC.

ARAGON FINANCIAL SERVICES, INC.

LINCOLN INVESTMENT

LEGEND CAPITAL CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2007

Series 63

Date: 6/17/1999

SIE

Date: 10/1/2018

Series 22

Date: 12/12/1984

Series 6

Date: 10/13/1982

Series 26

Date: 8/27/1996

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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