Robert Stephen Roselli

Employer firm

Peak Financial Management Inc CRD 110559

$534M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2014 → 04/2019
  Axa Advisors, Llc
  Wellesley, MA
• 04/2019 → Present
  Peak Financial Management, Inc.
  Wellesley, MA

Previous Registrations

• 2017-03-27 → 2019-05-01
  Equitable Advisors, Llc
  Wellesley, MA

Other Businesses

(1.) NAME OF OBA: EQUITABLE ADVISORS; ADDRESS OF OBA: WELLESLEY, MA 02481; NATURE: I OCCASIONALLY PROVIDE A NOTARY SEAL FOR CLIENTS. AN ESTIMATE OF 6-8 TIMES PER YEAR; INVESTMENT RELATED: NO; TITLE WITH OBA: NOTARY PUBLIC; DUTIES: I OCCASIONALLY PROVIDE A NOTARY SEAL FOR CLIENTS. AN ESTIMATE OF 6-8 TIMES PER YEAR; START DATE: 2014; APPROX. NUMBER OF HOURS/MONTH: 0-1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 2 MINUTES/MONTH; (2.) NAME OF OBA: EQUITABLE ADVISORS; ADDRESS OF OBA: WELLESLEY, MA 02481; NATURE: I COLLECT RESIDUAL INCOME FROM BUSINESS WRITTEN FROM 2011-2019; INVESTMENT RELATED: NO; TITLE WITH OBA: INSURANCE AGENT; DUTIES: I COLLECT RESIDUAL INCOME FROM BUSINESS WRITTEN FROM 2011-2019; START DATE: 2019; APPROX. NUMBER OF HOURS/MONTH: 0; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-03-17
• S63 Uniform Securities Agent State Law Examination
  1994-05-03

Designations

• Certified Financial Planner