Robert Mitchell Jaffe

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:

Current Employers

Osaic Wealth, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2012-02-27
DE	RA	APPROVED	2011-11-23
NJ	RA	APPROVED	2011-11-18
CA	RA	APPROVED	2011-11-10
MT	RA	APPROVED	2011-11-10

FL RA
APPROVED

Since 2012-02-27
DE RA
APPROVED

Since 2011-11-23
NJ RA
APPROVED

Since 2011-11-18
CA RA
APPROVED

Since 2011-11-10
MT RA
APPROVED

Since 2011-11-10

Branch Locations

Holmdel, NJ • United States

11835 W. Olympic Blvd. Suite 1155 E, Los Angeles, CA 90064 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Royal Alliance	Lincroft	NJ	11/2011	Present

11/2011 → Present

Royal Alliance

Lincroft, NJ

Previous Registrations

2002-11-20 → 2011-11-21

Rbc Capital Markets, Llc

Red Bank, NJ

Shrewsbury, NJ

Other Businesses

1) ROBERT JAFFE POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2001 ADDRESS: 295 SR 34, Ste 301, Colts Neck NJ 07722 DESCRIPTION: Fixed Insurance Sales 2) ROBERT JAFFE POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2001 ADDRESS: 11835 W. Olympic Blvd, Ste 1155E, Los Angeles CA 90064, United States DESCRIPTION: Fixed Insurance Sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-10-01
S63	Uniform Securities Agent State Law Examination	1987-01-23

S65 Uniform Investment Adviser Law Examination

2002-10-01
S63 Uniform Securities Agent State Law Examination

1987-01-23

Other Names

Robert Jaffe

View on SEC IAPD