Robert James Garofallou

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 03/1991 → 09/2018
  Northeast Securities, Inc.
  Westbury, NY
• 09/2018 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2021-06-12 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1. R.J.G. TAX & CAPITAL SOLUTIONS, INC. POSITION: PRESIDENT/PARTNER NATURE: S-Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 140 SECURITIES TRADING HOURS: 140 START DATE: 07/01/1998 ADDRESS: 255 Pop Top Lane, Daytona Beach FL 32124, United States DESCRIPTION: Tax Preparation and guidance 2. ROBERT J GAROFALLOU POSITION: Agent - Insurance Producer NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/01/1983 ADDRESS: 62 Marc Drive, Ridge NY 11961, United States DESCRIPTION: Sales and Service of Fixed Insurance and Annuities

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-10-03
• S63 Uniform Securities Agent State Law Examination
  2018-09-15