Scott A. Rosati
Professional summary
Scott A Rosati, who also goes by Scott Allen Rosati, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Bonita Springs, Florida and TRANSAMERICA INVESTORS SECURITIES, LLC located in Chandler, Arizona.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott A Rosati's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2023 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
March 13, 2023 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
March 14, 2022 - October 13, 2022
VERTIS WEALTH, LLC
October 16, 2018 - October 13, 2021
PRUCO SECURITIES, LLC.
September 26, 2018 - October 13, 2021
PRUCO SECURITIES, LLC.
May 12, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 1, 2004 - March 8, 2018
SCOTTRADE, INC.
September 28, 2000 - November 30, 2004
IDS LIFE INSURANCE COMPANY
September 28, 2000 - November 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/30/2023)
(3/31/2023)
(3/21/2023)
(3/31/2023)
(4/5/2023)
(3/14/2023)
(3/16/2023)
(4/11/2023)
(3/20/2023)
(3/14/2023)
(3/30/2023)
(4/11/2023)
(3/31/2023)
(3/14/2023)
(4/3/2023)
(4/6/2023)
(4/10/2023)
(3/31/2023)
(4/3/2023)
(3/14/2023)
(3/13/2023)
(3/13/2023)
(4/3/2023)
(4/4/2023)
(4/4/2023)
(3/31/2023)
(3/31/2023)
(4/4/2023)
(4/3/2023)
(4/13/2023)
(4/3/2023)
(4/10/2023)
(3/14/2023)
(4/8/2023)
(3/30/2023)
(3/31/2023)
(3/13/2023)
(4/3/2023)
(3/31/2023)
(4/3/2023)
(3/27/2023)
(3/31/2023)
(3/30/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
(3/31/2023)
(4/4/2023)
(3/15/2023)
(3/30/2023)
(4/3/2023)
(4/11/2023)
(3/31/2023)
Exams
FINRA
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
