Colin P. Figueroa

OSAIC WEALTH

Cresskill, NJ 07626

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CRD#: 5882321

Professional summary

Colin Peter Figueroa, who also goes by Colin Figueroa, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Cresskill, New Jersey.

Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Colin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Colin Figueroa

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. ALPINE FINANCIAL PLANNING LLC POSITION: First Vice President NATURE: Alpine Financial Planning LLC. Helps clients with insurance planning needs. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/19/2018 ADDRESS: 300 Knickerbocker Rd, Suite 2600, Cresskill NJ 07626, United States DESCRIPTION: Alpine Financial Planning LLC. Helps clients with insurance planning needs. 2. WHUDSON LLC POSITION: Single member LLC NATURE: This is simply an llc created to hold our new office building that we purchased. I am the sole member of the LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 300 Knickerbocker rd ste 2600, Cresskill NJ 07626, United States DESCRIPTION: This is simply an llc created to hold our new office building that we purchased. I am the sole member of the LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Peter Figueroa's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Colin Peter Figueroa'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

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 300 Knickerbocker Rd Suite 2600, Cresskill, NJ 07626

RIA

CRD#: 23131

Cresskill, NJ

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 300 Knickerbocker Rd Suite 2600, Cresskill, NJ 07626

RIA

CRD#: 23131

Cresskill, NJ

Past

July 11, 2018 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

Cresskill, NJ

Past

July 11, 2018 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

Cresskill, NJ

Past

November 23, 2016 - July 11, 2018

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Scarsdale, NY

Past

November 15, 2016 - July 11, 2018

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Ridgewood, NJ

Past

August 6, 2012 - November 7, 2016

MORGAN STANLEY

RIA

CRD#: 149777

PARAMUS, NJ

Past

July 31, 2012 - November 7, 2016

MORGAN STANLEY

CRD#: 149777

PARAMUS, NJ

Past

January 26, 2011 - June 20, 2012

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

California
(1/19/2024)

Colorado
(1/19/2024)

Connecticut
(1/19/2024)

Delaware
(1/19/2024)

Florida
(1/19/2024)

Georgia
(1/19/2024)

Illinois
(1/19/2024)

Maryland
(1/19/2024)

Massachusetts
(1/19/2024)

Montana
(1/19/2024)

New Hampshire
(1/19/2024)

New Jersey
(1/19/2024)

IAR

New Jersey
(1/19/2024)

New Mexico
(2/5/2024)

New York
(1/19/2024)

North Carolina
(1/19/2024)

Oregon
(1/19/2024)

Pennsylvania
(1/19/2024)

Rhode Island
(1/19/2024)

South Carolina
(1/19/2024)

Texas
(1/19/2024)

Vermont
(1/19/2024)

Virginia
(1/19/2024)

Washington
(1/19/2024)

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: 8/4/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/2011

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: 1/25/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

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	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	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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Firm Stability Insights

Colin P. Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colin Peter Figueroa's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Colin Peter Figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

MORGAN STANLEY

MORGAN STANLEY

JOHN THOMAS FINANCIAL

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2012

Series 63

Date: 2/7/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2011

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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