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MM

Maryanne Moscone

THE TAVENNER COMPANY
SPRINGFIELD, OH 45502
Some features on this profile are disabled
CRD#: 2386117
MM

Professional summary

Maryanne Moscone is a registered financial professional currently at THE TAVENNER COMPANY located in Springfield, Ohio.

Maryanne is registered as a 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Maryanne Moscone's CRS (Customer Relationship Summary).
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 2, 2018 - Present

THE TAVENNER COMPANY

Office #1: 4910 Old Mechanicsburg Rd., Springfield, OH 45502
BD
CRD#: 18004
SPRINGFIELD, OH
Past

January 17, 2018 - December 31, 2025

TAVCO FINANCIAL ADVISORY, INC

RIA
CRD#: 290084
REVERE, MA
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.

BD
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.

BD
CRD#: 30613
LYNNFIELD, MA
Past

November 6, 1995 - March 17, 1999

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

January 20, 1994 - November 14, 1995

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

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

RR
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

RR
Massachusetts
(1/2/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/2/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/19/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/19/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TT
THE TAVENNER COMPANY
LITTLETON FINANCIAL SERVICES, INC. | WESTMINISTER FINANCIAL INVESTMENTS, INC. | THE TAVENNER COMPANY | LITTLETON SECURITIES COMPANY

CRD#: 18004 / SEC#: , 8-41206

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4910 Old Mechanicsburg Rd., Springfield, OH 45502
Mailing Address
4910 Old Mechanicsburg Rd., Springfield, OH 45502
Phone number
(937) 399-8415
Established
Ohio since 01/27/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TAVENNER, THOMAS JAMESPRESIDENT4720439
TAVENNER, WILLIAM JAMES SRVICE PRESIDENT/ CHIEF COMPLIANCE OFFICER1508490

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

THE TAVENNER COMPANY

CRD#: 18004Springfield, OH 45502

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