Roger Darosa Correa

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2026-03-16
FL	RA	APPROVED	2026-03-13

NC RA
APPROVED

Since 2026-03-16
FL RA
APPROVED

Since 2026-03-13

Branch Locations

Pompano Beach, FL • United States

900 Ridgefield Drive Suite 130, Raleigh, NC 27609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	01/2015	08/2017
N/A	Fort Lauderdale	FL	08/2017	07/2018
Lincoln Financial Securities	Boyton Beach	FL	07/2018	11/2020
Lincoln Financial Securities	Pompano Beach	FL	12/2023	01/2025
Alpha Omega Wealth Partners	Raleigh	NC	11/2020	12/2023
Osaic Wealth, Inc.	Raleigh	NC	01/2025	Present

01/2015 → 08/2017

Axa Advisors, Llc

New York, NY
08/2017 → 07/2018

N/A

Fort Lauderdale, FL
07/2018 → 11/2020

Lincoln Financial Securities

Boyton Beach, FL
12/2023 → 01/2025

Lincoln Financial Securities

Pompano Beach, FL
11/2020 → 12/2023

Alpha Omega Wealth Partners

Raleigh, NC
01/2025 → Present

Osaic Wealth, Inc.

Raleigh, NC

Other Businesses

1. RC CORRETORA DE SEGUROS E PLANEJAMENTO, EIRELI (RC INSURANCE BROKER AND ESTATE PLANNING, LLC) - AVENIDA FRANCISCO RODRIUES, 243 - SAO PAULO, BRAZIL 02259-000 CATEGORY: INSURANCE/LEGAL ENTITY INVESTMENT RELATED: YES TITLE: AGENT/OWNER DUTIES: PROPERTY AND CASUALTY INSURANCE. REFERRALS OF P&C INSURANCE. I DO NOT ACTIVELY SELL ANY PRODUCT TO CONSUMERS. START DATE: 8/13/2020 HOURS PER MONTH: 5 HOURS PER MONTH DURING TRADING HOURS: 5 2.RC LEGACY PLANNING GROUP, LLC POSITION: Managing Partner, CEO, founder NATURE: Last year, after careful consideration with my CPA, I have decided that all my Insurance business will run through RC LEGACY PLANNING GROUP, LLC. Business was registered with Sunbiz in Florida, on 04/26/2024 under document numberL24000196098, FEI/EIN Number: [REDACTED] The business is already licensed with the State of Florida to received all Life, Health, Disability and Annuity business under license number L126168: RC Legacy Planning Group, LLC DBA: RC Legacy and Insurance Agency.Not investment related. INVESTMENT RELATED: Yes NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 180 START DATE: 04/26/2024 ADDRESS: 1617 S. Federal Hwy, apt 205, POMPANO BEACH FL 33062, United States DESCRIPTION: As Described above, nothing changes, instead of running my insurance business under my personal name will be done through the S Corp RC Legacy Planning Group, LLC. Last year, after careful consideration with my CPA, I have decided that all my Insurance business will run through RC LEGACY PLANNING GROUP, LLC. Business was registered with Sunbiz in Florida, on 04/26/2024 under document number L24000196098, FEI/EIN Number: [REDACTED] The business is already licensed with the State of Florida to received all Life, Health, Disability and Annuity business under license number L126168: RC Legacy Planning Group, LLC DBA: RC Legacy and Insurance Agency.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2026-03-06
S63	Uniform Securities Agent State Law Examination	2025-11-03

S65 Uniform Investment Adviser Law Examination

2026-03-06
S63 Uniform Securities Agent State Law Examination

2025-11-03