Robert A Rolfe

Current Employers

Employment History

• 05/2015 → 03/2018
  Metlife Securities
  Syracuse, NY
• 03/2017 → 03/2018
  Mml Investors Services, Llc
  Oswego, NY
• 03/2018 → 09/2023
  Sagepoint Financial, Inc.
  Oswego, NY
• 09/2023 → Present
  Osaic Wealth, Inc.
  Oswego, NY

Previous Registrations

• 2021-04-23 → 2023-09-01
  Osaic Services, Inc.
  Oswego, NY
  Oswego, NY
  Oswego, NY
  Phoenix, AZ
  Syracuse, NY
• 2017-06-20 → 2018-03-07
  Mml Investors Services, Llc
  Syracuse, NY
  Oswego, NY

Other Businesses

1. GREATER OSWEGO FULTON CHAMBER OF COMMERCE POSITION: committee member NATURE: Ambassador Committee: referring new chamber members, attending ribbon cuttings and special events for new members, and members celebrating expansions. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2017 ADDRESS: Greater Oswego Fulton Chamber of Commerce, 121 E 1st St, Oswego NY 13126, United States DESCRIPTION: Ambassador Committee: referring new chamber members, attending ribbon cuttings and special events for new members, and members celebrating expansions. 2.THE UNITED WAY GREATER OSWEGO POSITION: President Board of Directors NATURE: Non-profit agency INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 03/01/2020 ADDRESS: 1 South 1st Street, Fulton NY 13069, United States DESCRIPTION: President Board of Directors, run board meetings, serve on Executive Committee in guiding the organization as a volunteer. 3. EXCELSIOR WEALTH PARTNERS POSITION: Financial Advisor NATURE: I provide fixed annuity and life insurance solutions to clients who need them. I utilize direct and agency relationships through Osaic to accomplish this. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/04/2024 ADDRESS: Excelsior Wealth Partners, 35 E 1st St, Oswego NY 13126, United States DESCRIPTION: Outside of my normal duties as a registered representative and investment advisor representative, I solve protection, accumulation, or income needs for clients with fixed insurance and annuity products, when needed. 4. HARMONY FINANCIAL SERVICES INC. POSITION: President NATURE: In 2013, I filed for and was approved by NYS to have an S Corp. Harmony Financial Services Inc. pays all of my expenses, rent, utilities, insurance, payroll, marketing, etc. Since I must be paid all fees and commissions, I pay Harmony Financial Services Inc. Then it pays all of the bills of my practice. It has its own Tax ID and files its own return. This was at the advice of my accountant, who I still work with. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2013 ADDRESS: 25 Perry Hill Rd, Oswego NY 13126, United States DESCRIPTION: I manage employees, budget, and all financial affairs of my practice and business. I also pay myself to create tax withholding and Social Security credits with the money I am paid by Osaic.

Exams

• S63 Uniform Securities Agent State Law Examination
  1994-06-09

Other Names

• Rob Rolfe
• Robert Alan Rolfe