RM
Roseann M. Monteleone
SPC
St. Augustine, FL
Some features on this profile are disabled
CRD#: 1845670
RM
Professional summary
Roseann Marie Monteleone, who also goes by Roseann M Monteleone, Roseann Marie Mosakowski, is a registered financial advisor currently at SPC located in St. Augustine, Florida and SIGMA FINANCIAL CORPORATION located in Palm Harbor, Florida.
Roseann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Roseann has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roseann M Monteleone | Roseann Marie Mosakowski
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.
(1) 8/29/2019 - DBA Only -Bella Vita Wealth Management, LLC; 522 Alt. 19, Suite #1, Palm Harbor, FL 34684, Clearwater, FL; (2) 8/29/2019 - Bella Vita Wealth Management LLC - 522 Alt. 19, Suite 1, Palm Harbor, FL 34684 -Investment Related - Entity Ownership - LLC used for marketing and sales of investments and insurance products. 200 hrs/mo, 200 hrs/mo during trading hours. (3) 5/16/2022 - Roseann Monteleone - Financial Literacy Education Workshops -Investment Related - 3041 Oak View Drive, Palm Harbor, FL - 10 Hrs/Mo, 0 hrs/mo during trading. (4) 7/11/2022 - Roseann Monteleone - Not Investment Related - 3041 Oak View Drive, Palm Harbor, FL 34684 - Consultant - Providing general business consultancy services to business owners. 3 hrs/mo, 0 hrs/mo during trading hours. 5. Trustee for deceased uncle's trust. General trustee duties including bill paying and settling his estate. Start date: 3/25/25, approx. 10-12 hrs/mo, none during mkt hrs. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Roseann Marie Monteleone's 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®
NoneExperience
Current
March 31, 2023 - Present
SPC
RIA
CRD#: 110692
St. Augustine, FL
Current
March 31, 2023 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Palm Harbor, FL
Past
August 23, 2019 - April 10, 2023
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
TAMPA, FL
Past
August 23, 2019 - April 10, 2023
IFP SECURITIES, LLC
BD
CRD#: 297287
Palm Harbor, FL
Past
December 6, 2016 - September 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLEARWATER, FL
Past
October 18, 2016 - September 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLEARWATER, FL
Past
December 18, 2001 - August 9, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOVEJOY, GA
Past
July 8, 1988 - December 31, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
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".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)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.RR
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
RR
Florida(3/31/2023)
IAR
Florida(4/9/2023)
RR
Georgia(3/31/2023)
RR
Minnesota(1/16/2024)
RR
North Carolina(3/31/2023)
RR
Pennsylvania(3/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
