Vince LaGatta: RAISE Advisor Lands Investor Complaints

Gilbert, Arizona financial advisor Vince LaGatta (CRD# 3098611) allegedly misrepresented investments, according to investor complaints. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Osaic Wealth, and that he is a representative of RAISE Asset Management.

Mr. LaGatta’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in September 2024, alleges that as a representative of BBVA Securities, he misrepresented an investment in a callable zero-coupon market-linked certificate of deposit. The ending complaint alleges unspecified damages.

An earlier investor complaint, filed in June 2024, alleges that as a BBVA Securities representative, he provided misleading information regarding a structured note. The pending complaint alleges unspecified damages.

A third investor complaint, filed in 2013, alleged that as a BancWest Investment Services representative, he misrepresented material facts and breached his fiduciary duty. The complaint reached a settlement of $140,000.

RAISE Asset Management’s website includes a page describing the firm’s mission. “We want to help you develop, implement, and monitor a strategy that’s designed to address your individual situation,” it explains. “From managing debt to saving for college to retirement, these personal finance challenges can be overwhelming. Our commitment is to utilize all of our resources to help you pursue your goals. We believe in thinking ‘out of the box’ and we are not afraid to challenge conventional wisdom in our approach to investing and preserving wealth. All of our energy, commitment, and efforts are focused on you, the client, and your satisfaction.”

According to the Financial Industry Regulatory Authority, Vince LaGatta holds 26 years of securities industry experience. Based in Gilbert, Arizona, he has been registered as a broker and an investment advisor with Osaic Wealth since June 2024. His past registrations include PNC Investments, BBVA Securities, US Bancorp Investments, BancWest Investment Services, Citicorp Investment Services, Linsco/Private Ledger, and Bisys Brokerage Services. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, Illinois, Missouri, Nevada, New Mexico, Oregon, Texas, and Washington. (Information current as of October 12, 2024.)

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