Rosalba Ragusa
Professional Summary
Rosalba Ragusa, who also goes by Rosalba Simone, is a registered financial advisor currently at AEC TRANSACTION SERVICES LLC located in New York, New York. Rosalba is registered as a RR (Registered Representative) and started their career in finance in 2012. Rosalba has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rosalba Simone
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
AEC TRANSACTION SERVICES LLC
Contact Information
Main Address
28 West 44th St Suite 815, New York, NY 10036Mailing Address
28 West 44th St Suite 815, New York, NY 10036Phone Number
(917) 828-5498Established
Delaware since 06/09/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AEC MARLEY LLC | MEMBER | — |
| AEC LUNA LLC | MEMBER | — |
| ALBRIGHT, TYLER JAMES | MANAGING PARTNER | 7806856 |
| AVELINI, ANDREJ | MANAGING PARTNER | 2498642 |
| LAHRE, JOSHUA MCNEIL | MANAGING PARTNER | 5171195 |
| RAGUSA, ROSALBA | CHIEF FINANCIAL OFFICER/FINOP | 2830587 |
| RAGUSA, ROSALBA | CHIEF COMPLIANCE OFFICER | 2830587 |
| SMETONA, JOSEPH MICHAEL | MANAGING PARTNER | 5875853 |
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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.
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State Registrations and Notice Filings
(9/25/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2025About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rosalba Ragusa's CRS (Customer Relationship Summary).
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