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Nicholas C. Rossetti

Lifegoal Investments, LLC

Saratoga Springs, NY

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Current Employers
Lifegoal Investments, Llc

Saratoga Springs, NY • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-09-16
NY RA APPROVED 2025-09-05
TX RA APPROVED 2025-09-05
  • LA RA
    APPROVED
    Since 2025-09-16
  • NY RA
    APPROVED
    Since 2025-09-05
  • TX RA
    APPROVED
    Since 2025-09-05

Branch Locations

Saratoga Springs, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Amundi Distributor Us. Inc. Boston MA 05/2013 05/2022
Rbc Capital Markets, Llc Albany NY 07/2024 08/2025
Unemployed New York NY 06/2022 06/2024
Lifegoal Investments, Llc Fka Lifegoal Wealth Advisors Llc Saratoga Springs NY 09/2025 Present
Amundi Asset Management Us, Inc. Boston MA 01/2021 05/2022
Amundi Institutional Asset Management, Inc. Boston MA 01/2014 12/2020
  • 05/2013 → 05/2022
    Amundi Distributor Us. Inc.
    Boston, MA
  • 07/2024 → 08/2025
    Rbc Capital Markets, Llc
    Albany, NY
  • 06/2022 → 06/2024
    Unemployed
    New York, NY
  • 09/2025 → Present
    Lifegoal Investments, Llc Fka Lifegoal Wealth Advisors Llc
    Saratoga Springs, NY
  • 01/2021 → 05/2022
    Amundi Asset Management Us, Inc.
    Boston, MA
  • 01/2014 → 12/2020
    Amundi Institutional Asset Management, Inc.
    Boston, MA
Previous Registrations
  • 2024-07-29 → 2025-09-05
    Rbc Capital Markets, Llc
    Albany, NY
  • 2021-01-04 → 2022-05-13
    Amundi Asset Management Us, Inc.
    Boston, MA
  • 2014-01-31 → 2020-12-31
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-07-26
S63 Uniform Securities Agent State Law Examination 2011-12-13
  • S66 Uniform Combined State Law Examination
    2024-07-26
  • S63 Uniform Securities Agent State Law Examination
    2011-12-13
Other Names
  • Nick Rossetti
  • Nicholas Carberry Rossetti

View on SEC IAPD

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