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Nicholas C. Rossetti

LIFEGOAL INVESTMENTS
Saratoga Springs, NY
Some features on this profile are disabled
CRD#: 5983605
NR

Professional summary

Nicholas C. Rossetti, who also goes by Nicholas Carberry Rossetti, Nick Rossetti, is a registered financial advisor currently at LIFEGOAL INVESTMENTS, LLC located in Saratoga Springs, New York.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Nicholas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas Carberry Rossetti | Nick Rossetti

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas C. Rossetti'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

September 5, 2025 - Present

LIFEGOAL INVESTMENTS, LLC

RIA
CRD#: 327833
Saratoga Springs, NY
Past

July 29, 2024 - September 5, 2025

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
ALBANY, NY
Past

July 2, 2024 - September 5, 2025

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
ALBANY, NY
Past

January 4, 2021 - May 13, 2022

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

January 31, 2014 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

May 6, 2013 - May 13, 2022

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

November 8, 2011 - April 16, 2013

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
ANDOVER, MA

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".
LI
LIFEGOAL INVESTMENTS, LLC
LIFEGOAL INVESTMENTS, LLC | LIFEGOAL WEALTH ADVISORS LLC | LIFEGOAL INVESTMENTS,LLC

CRD#: 327833 / SEC#: 801-131015

RIA
Registered Investment Advisory firm - (8/29/2024 Approved)
California
Registered Investment Advisory firm - (10/10/2024 Terminated)
Florida
Registered Investment Advisory firm - (9/10/2024 Terminated)
New York
Registered Investment Advisory firm - (9/10/2024 Terminated)
Texas
Registered Investment Advisory firm - (9/10/2024 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.

Highlighted states indicate IAR registrations

IAR
Louisiana
(9/16/2025)
IAR
New York
(9/5/2025)
IAR
Texas
(9/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/26/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/13/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LI
LIFEGOAL INVESTMENTS, LLC
LIFEGOAL INVESTMENTS, LLC | LIFEGOAL WEALTH ADVISORS LLC | LIFEGOAL INVESTMENTS,LLC

CRD#: 327833 / SEC#: 801-131015

RIA
Registered Investment Advisory firm - (8/29/2024 Approved)
California
Registered Investment Advisory firm - (10/10/2024 Terminated)
Florida
Registered Investment Advisory firm - (9/10/2024 Terminated)
New York
Registered Investment Advisory firm - (9/10/2024 Terminated)
Texas
Registered Investment Advisory firm - (9/10/2024 Terminated)
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Contact information

Main Address
Saratoga Springs, NY
Mailing Address
Phone number
(607) 434-0742
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (10/28/2025)

Regulatory assets under management

Total Number of Accounts643
AUM (Assets Under Management)$ 271,000,000

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

LIFEGOAL INVESTMENTS, LLC

CRD#: 327833Saratoga Springs, NY

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