RR
Roberto Rabassa
OSAIC INSTITUTIONS
Norwalk, CT 06851
Some features on this profile are disabled
CRD#: 6466059
RR
Roberto Rabassa Jr.OSAIC INSTITUTIONS
Professional summary
Roberto Rabassa Jr., who also goes by Roberto Rabassa, Roberto Rabassa Jr, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Norwalk, Connecticut.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Roberto has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Roberto Rabassa | Roberto Rabassa Jr
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) 05/2024 - Wealthwise Financial Group Gandolfini, Rabassa & A / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 05/2024 - G and R investment Group LLc / Business Entity For Tax/Investment Purposes Only / Business entity for Real Estate ownership / Not Inv, Related - 5 Hrs per month
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Rabassa Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Rabassa Jr.'s 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®
NoneExperience
Current
September 8, 2026 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 295 Westport Ave, Norwalk, CT 06851RIA
BD
CRD#: 35371
Norwalk, CT
Current
September 8, 2026 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 295 Westport Ave, Norwalk, CT 06851RIA
BD
CRD#: 35371
Norwalk, CT
Past
December 10, 2025 - September 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HAMDEN, CT
Past
December 10, 2025 - September 23, 2026
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HAMDEN, CT
Past
May 15, 2024 - December 12, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
HARTFORD, CT
Past
May 15, 2024 - December 12, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
HARTFORD, CT
Past
December 1, 2021 - May 15, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
South Windsor, CT
Past
December 1, 2021 - May 15, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
South Windsor, CT
Past
October 30, 2019 - November 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
January 2, 2019 - November 22, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
Past
September 13, 2018 - December 3, 2018
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
East Hartford, CT
Past
December 18, 2017 - June 27, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ROCKY HILL, CT
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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.RR
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
RR
Connecticut(9/8/2026)
IAR
Connecticut(9/8/2026)
RR
Florida(9/8/2026)
RR
Maine(9/8/2026)
RR
Maryland(9/8/2026)
RR
Massachusetts(9/8/2026)
RR
New Hampshire(9/8/2026)
RR
New Jersey(9/8/2026)
RR
New York(9/8/2026)
RR
North Carolina(9/8/2026)
RR
Rhode Island(9/8/2026)
RR
Texas(9/8/2026)
RR
Vermont(9/8/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 6/7/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 12/18/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Loading...
Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,839
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| REID, SHANNON | DIRECTOR | 4815189 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 11,892 |
| AUM (Assets Under Management) | $ 6,494,001,878 |
Disclosures
| Regulatory Event | 9 |
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 INSTITUTIONS, INC.
CRD#: 35371Norwalk, CT 06851TRUST BUT VERIFY
Monitor Roberto Rabassa
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
