James V. O’Sullivan, CLU®, AIF®, ChFC®
Managing Director
Jim is the managing director of Toll Gate Capital Advisors LLC. Jim founded his own advisory practice in 1973. Originally from New York, he has lived in Rhode Island since 1968 and has been married to his wife, Karen, since 1972. He has two sons, James III and Ryan, and four grandchildren: James IV, Emilie, Frances, Elizabeth, and Callan. Jim is also president of The Insurance Center, an insurance agency founded in 1973. Jim is a Registered Representative and Registered Investment Adviser Representative with Commonwealth Financial Network®. Jim holds active FINRA Series 7, 63, and 65 securities registrations in addition to his life and annuity insurance licenses. He is a Chartered Life Underwriter®, a Chartered Financial Consultant®, and an Accredited Investment Fiduciary®. With more than 40 years of experience, Jim is uniquely qualified to advise both individual and corporate clients in matters related to the financial planning process.
Mark Boccuzzi
President
Mark began his career in finance as a proprietary day trader for a private firm on Wall Street. After 9/11, he moved to Westchester, New York, to work as an investment adviser for individuals and families with Morgan Stanley. Mark was a senior vice president of investments and financial consultant for Wells Fargo Advisors and UBS Financial Services. In 2018, he joined Toll Gate Capital Advisors LLC. He is currently the President and a Registered Representative and Investment Adviser Representative with Commonwealth Financial Network®. Mark holds active FINRA Series 7, 31, 55, and 66 securities registrations as well as his life and annuity insurance licenses.
Robert M. Surprenant Jr. CFP®
Senior Vice President
Robert is a Financial Advisor and Senior Vice President at Toll Gate Capital Advisors. He is a CERTIFIED FINANCIAL PLANNER™ practitioner. He is a native Rhode Islander and a resident of East Greenwich, where he resides with his wife , Melissa, and sons Kaine and Kase. Robert started his career as a stockbroker at Waterhouse Securities in Boston, MA in 1995. Prior to joining Toll Gate Capital Advisors, Robert had spent the last decade as a financial advisor with Santander Investments. Robert left the bank in January, 2021 to pursue the dream of owning his own practice.
Registrations, certifications, licenses:
CERTIFIED FINANCIAL PLANNER™ certification
FINRA Series 7 (General Securities Representative)
FINRA Series 66 (Uniform Investment Adviser)
FINRA Series 63 (Uniform Securities Agent)
Life/Health/Annuity License
Amanda Chartier
Client Service Specialist
Amanda is a dedicated Client Service Specialist, on a mission to enhance client experiences and contribute to overall financial success. Amanda's path in finance began at UMass Dartmouth Charlton College of Business, an AACSB-accredited institution, a recognition reserved for the most distinguished business schools. Her background in project management, enriched with financial components, adds a unique dimension to her expertise, ensuring a holistic approach to your financial goals. Aspiring to become a Financial Advisor, Amanda is currently pursuing Series 7 & 66 Licenses, aiming to bring an additional layer of expertise to clients. Originally from Rhode Island, Amanda now resides in Massachusetts on a charming farm with her fiancé, Benjamin. With a passion for financial excellence and a commitment to growth, Amanda is here to ensure your financial journey is as seamless as can be.
