Ronald Rosato
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Rosato was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2012 - August 9, 2022
CAPITOL SECURITIES MANAGEMENT, INC.
October 1, 2010 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
August 19, 2002 - October 4, 2010
WESTROCK ADVISORS, INC.
February 13, 2001 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
June 30, 1994 - February 9, 2001
TASIN & COMPANY, INC.
January 1, 1991 - March 20, 1991
H. STARR FINANCIAL CORP.
February 6, 1990 - July 6, 1994
ROBERT TODD FINANCIAL CORP.
November 22, 1989 - February 12, 1990
V P SECURITIES, INC.
November 16, 1989 - December 8, 1989
DONALD & CO. SECURITIES INC.
March 31, 1989 - November 20, 1989
WILLIAM M. CADDEN & CO., INC.
April 4, 1984 - March 10, 1989
INVESTORS CENTER, INC.
January 31, 1983 - April 16, 1984
INDIVIDUAL'S SECURITIES LTD.
November 15, 1981 - January 26, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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