Elena M. Tricarico
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.
Elena M Tricarico, who also goes by Elena Romano, Elena Todarello, was a registered financial professional .
Elena is a previously registered financial professional and started their career in finance in 1996. Elena had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2004 - December 31, 2007
AMIVEST CAPITAL MANAGEMENT
June 8, 2004 - November 8, 2012
CAPITAL ONE INVESTMENT SERVICES LLC
July 1, 2003 - April 12, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 30, 1999 - May 25, 2000
CITIGROUP GLOBAL MARKETS INC.
June 24, 1996 - September 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
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
Current firm
No current employment
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.
