Maryanne Moscone

TAVCO FINANCIAL ADVISORY,

REVERE, MA

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CRD#: 2386117

Professional summary

Maryanne Moscone is a registered financial advisor currently at TAVCO FINANCIAL ADVISORY, INC located in Revere, Massachusetts and THE TAVENNER COMPANY located in Springfield, Ohio.

Maryanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Maryanne has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FIXED INSURANCE. 350 REVERE BEACH BLVD 8-8C REVERE, MA 02151. INSURANCE SALES, AGENT. 1993. HRS/MONTH: 3 HRS/TRADING: 0***REAL ESTATE BROKER. 350 REVERE BEACH BLVD 8-8C REVERE, MA 02151. SALES, BROKER. 1991. HRS/MONTH: 0 HRS/TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maryanne Moscone's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 17, 2018 - Present

TAVCO FINANCIAL ADVISORY, INC

RIA

CRD#: 290084

REVERE, MA

Current

January 2, 2018 - Present

THE TAVENNER COMPANY

Office #1: 4910 Old Mechanicsburg Rd., Springfield, OH 45502

CRD#: 18004

SPRINGFIELD, OH

Past

November 2, 2012 - December 31, 2017

W.H. COLSON & ASSOCIATES, INC.

RIA

CRD#: 117309

REVERE, MA

Past

October 19, 2012 - December 31, 2017

W. H. COLSON SECURITIES, INC.

CRD#: 117789

GREENVILLE, NC

Past

January 9, 2007 - October 18, 2012

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

REVERE, MA

Past

July 21, 1999 - December 31, 2002

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

REVERE, MA

Past

March 12, 1999 - October 18, 2012

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

November 6, 1995 - March 17, 1999

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

January 20, 1994 - November 14, 1995

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(1/2/2018)

IAR

Massachusetts
(1/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/19/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

CRD#: 290084 / SEC#:

Georgia

Registered Investment Advisory firm - (1/18/2019 Approved)

Kentucky

Registered Investment Advisory firm - (1/26/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (11/28/2017 Approved)

Missouri

Registered Investment Advisory firm - (12/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (11/16/2017 Approved)

Virginia

Registered Investment Advisory firm - (12/8/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4910 Old Mechanicsburg Rd, Springfield, OH 45502

Mailing Address

Phone number

(937) 399-8415

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 3,914,269

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Maryanne Moscone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maryanne Moscone's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE TAVENNER COMPANY

W.H. COLSON & ASSOCIATES, INC.

W. H. COLSON SECURITIES, INC.

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

WMA SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2006

Series 63

Date: 1/19/1994

SIE

Date: 10/1/2018

Series 6

Date: 1/19/1994

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAVCO FINANCIAL ADVISORY, INC

TRUST BUT VERIFY

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