Brian A. Rosoff

CETERA INVESTMENT ADVISERS LLC

HAUPPAUGE, NY 11788

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CRD#: 2278434

Professional summary

Brian Arthur Rosoff is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hauppauge, New York and CETERA INVESTMENT SERVICES LLC located in Denville, New Jersey.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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.

1.) OMNIA FINANCIAL, LLC, PRESIDENT, DBA FOR BRANDING, MARKETING AND WEBSITE. 2.) OWNER OF OMNIA FINANCIAL SERVICES, LLC; FIXED INSURANCE SOLD OUTSIDE OF CETERA THROUGH LLC; VA AND EIA TO COME THROUGH CETERA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Arthur Rosoff'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

February 3, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1300 Veterans Memorial Hwy Suite 310, Hauppauge, NY 11788Office #2: 1 Indian Road Suite 4, Denville, NJ 07834

RIA

CRD#: 105644

HAUPPAUGE, NY

Current

January 29, 2021 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1 Indian Road Suite 4, Denville, NJ 07834Office #2: 1300 Veterans Memorial Hwy Suite 240, Hauppauge, NY 11788

CRD#: 15340

Denville, NJ

Past

January 30, 2015 - January 28, 2021

STONEX ADVISORS INC.

RIA

CRD#: 174182

Parsippany, NJ

Past

September 12, 2014 - January 28, 2021

STONEX SECURITIES INC.

CRD#: 18456

PARSIPPANY, NJ

Past

June 5, 2006 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

PARSIPPANY, NJ

Past

June 5, 2006 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

PARSIPPANY, NJ

Past

February 27, 2006 - May 19, 2006

GREENWICH GLOBAL, LLC

CRD#: 37304

WILTON, CT

Past

July 24, 2002 - February 2, 2006

NEW ENGLAND SECURITIES

RIA

CRD#: 615

FAIRFIELD, NJ

Past

January 22, 1998 - February 2, 2006

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 23, 1996 - December 8, 1997

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

October 19, 1992 - February 6, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 19, 1992 - February 6, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Alabama
(1/29/2021)

California
(1/29/2021)

Connecticut
(1/29/2021)

Delaware
(1/29/2021)

Florida
(1/29/2021)

Maryland
(1/29/2021)

Nevada
(1/29/2021)

New Jersey
(1/29/2021)

IAR

New Jersey
(2/3/2021)

New York
(1/29/2021)

IAR

New York
(8/6/2021)

North Carolina
(2/1/2021)

Ohio
(1/31/2021)

Pennsylvania
(1/29/2021)

South Carolina
(1/29/2021)

Tennessee
(1/25/2024)

Virginia
(1/29/2021)

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: 11/23/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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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Advisor Monitoring

Firm Stability Insights

Brian A. Rosoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Arthur Rosoff's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

GREENWICH GLOBAL, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PMG SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/1994

Series 63

Date: 10/1/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1992

Series 24

Date: 4/12/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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