Jeffrey J. Cannella
Professional summary
Jeffrey James Cannella is a registered financial advisor currently at OSAIC WEALTH, INC. located in Elizabeth, Colorado.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Jeffrey has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey James Cannella's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey James Cannella's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2010 - Present
OSAIC WEALTH, INC.
Office #1: 1760 Private Road 130, Elizabeth, CO 80107March 2, 2007 - Present
OSAIC WEALTH, INC.
Office #1: 1760 Private Road 130, Elizabeth, CO 80107October 13, 2004 - December 31, 2010
UNITED SECURITIES ALLIANCE, INC.
September 7, 2004 - December 21, 2007
UNITED SECURITIES ALLIANCE, INC.
November 27, 2001 - September 7, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
December 19, 2000 - June 29, 2001
AUERBACH, POLLAK & RICHARDSON INC.
October 2, 2000 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
August 16, 1999 - September 25, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Elizabeth, CO 80107TRUST BUT VERIFY
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