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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Scott A Rosati

Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC

Bonita Springs, FL

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Search this name across graphsid dfx:ria:7f6790cb-7abb-4998-3f0e-bd14fc76b524

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 12, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TRANSAMERICA RETIREMENT ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 27, 2017
First registration: May 12, 2017
Dual registered: yes, broker-dealer
Other names: SCOTT ALLEN ROSATI|Scott A Rosati
IAPD individual key: 4268714

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TRANSAMERICA RETIREMENT ADVISORS, LLC	Bd affiliated wealth	Mar 30, 2023	n/a	yes	Bonita Springs, FL	Current employment
VERTIS WEALTH, LLC	Independent wealth	Mar 14, 2022	Oct 13, 2022	no	FORT MYERS, FL\|CHICAGO, IL\|FORT MYERS, FL	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Oct 16, 2018	Oct 13, 2021	no	FORT MYERS, FL	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	May 12, 2017	Mar 8, 2018	no	Naples, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
VERTIS WEALTH, LLC	TRANSAMERICA RETIREMENT ADVISORS, LLC	Oct 13, 2022	Mar 30, 2023	168	Firm change	RIA to ibd
PRUCO SECURITIES, LLC	VERTIS WEALTH, LLC	Oct 13, 2021	Mar 14, 2022	152	Firm change	Ibd to RIA
SCOTTRADE INVESTMENT MANAGEMENT	PRUCO SECURITIES, LLC	Mar 8, 2018	Oct 16, 2018	222	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: current employment
Mar 30, 2023 to presentfactForm ADV
→ VERTIS WEALTH, LLCRegistered adviserregistration: previous registration
Mar 14, 2022 to Oct 13, 2022factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 16, 2018 to Oct 13, 2021factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
May 12, 2017 to Mar 8, 2018factForm ADV

Dated events

Occurred
Oct 13, 2022
Advisor changed firm
Scott A Rosati left Vertis Wealth, Llc for Transamerica Retirement Advisors, Llc (registered 2023-03-30)
Form ADVobserved 4 days ago