Robert J. 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.
Robert J. Rossetti, who also goes by Robert J Rossetti, Robert John Rossetti, Robert Rossetti, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 12 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - March 8, 2023
J.P. MORGAN SECURITIES LLC
May 3, 2016 - March 8, 2023
J.P. MORGAN SECURITIES LLC
October 1, 2014 - July 21, 2016
AMERICAN PORTFOLIOS ADVISORS, INC
September 11, 2014 - February 3, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
June 2, 2014 - September 5, 2014
SORRENTO PACIFIC FINANCIAL, LLC
August 21, 2013 - June 9, 2014
LPL FINANCIAL LLC
November 4, 2011 - June 13, 2012
MSI FINANCIAL SERVICES, INC.
September 7, 2007 - February 11, 2009
MORGAN STANLEY INVESTMENT ADVISORS INC.
April 2, 2007 - October 15, 2007
MORGAN STANLEY & CO. LLC
September 13, 2006 - February 11, 2009
MORGAN STANLEY DISTRIBUTION, INC.
May 17, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
November 30, 1994 - May 2, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 1988 - April 27, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
