Arthur V. Rossetti
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur Vincent Rossetti JR, who also goes by Art Rossetti, Arthur VIncent Rossetti, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1986. Arthur had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2016 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 24, 2011 - December 31, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 1, 2010 - June 2, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 23, 2009 - February 24, 2011
SECURITIES AMERICA, INC.
September 13, 2001 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
September 6, 2000 - September 17, 2001
VOYA FINANCIAL ADVISORS, INC.
July 3, 1996 - August 21, 2000
CETERA WEALTH SERVICES, LLC
April 25, 1994 - July 3, 1996
NATHAN & LEWIS SECURITIES, INC.
March 13, 1991 - April 20, 1994
PRINCIPAL SECURITIES, INC.
April 30, 1987 - December 31, 1989
SIGNATOR INVESTORS, INC.
December 2, 1986 - December 24, 1986
PAMCO SECURITIES AND INSURANCE SERVICES
May 7, 1986 - January 1, 1987
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
