TZ
Tracy A. Zullo
CAPITAL WEALTH INVESTMENTS
Scranton, PA 18503
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CRD#: 4293982
TZ
Professional summary
Tracy Aaron Zullo is a registered financial advisor currently at CAPITAL WEALTH INVESTMENTS located in Scranton, Pennsylvania and MUTUAL SECURITIES, INC. located in Scranton, Pennsylvania.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Tracy has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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.
1. Zullo Investment Group, Inc., Corporation, Start Date: 05/16/17, 17057 Winning Colors Place Leesburg, VA 20176, Administrative Operations, Financial Advisor, Investment Related, 160 hours per month, 8 hours per day during trading hours. Registered as an IAR since 11/2020.
2. Independent Insurance Agent, Sole Proprietor, Start Date: 12/5/17, 132 Adams Avenue, Scranton, PA 18503, Insurance Agency/Agent, Not Investment Related, 2 hours per month, 0 hours per day during trading hours.
3. Symetra Life Insurance Company, Corporation, Start Date: 12/5/17, 777 108th Avenue NE, Suite 1200, Bellevue, WA 98004, Insurance Company, Agent, Not Investment Related, 2 hours per month, 0 hours per day during trading hours.
4. Nationwide Insurance Company, Corporation, Start date: 01/24/18, One Nationwide Plaza, Columbus, OH 43215, Insurance Agency/Agent, 5 hours per month, 0 hours per day during trading hours.
5. BKA Financial, LLC, START DATE: 01/24/18, 244 W. Water St., Ste. 200 Elmira, NY 14901, Insurance Agency/Agent, Not Investment Related, 5 hours per month, 0 hours per day during trading hours.
6. The Zullo Investment Group DBA Capital Wealth Investments, Start Date: 01/01/2021, 132 Adams Ave, Scranton, PA 18503, RIA Registered Investment, RIA, Managing Director, We are currently under the umbrella of Bernardo Wealth Planning RIA - we would now like to become our own RIA, Investment Related, 40 Hours per month, 40 Hours during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Aaron Zullo'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®
NoneExperience
Current
December 23, 2020 - Present
CAPITAL WEALTH INVESTMENTS
Office #1: 132 Adams Avenue, Scranton, PA 18503RIA
CRD#: 311698
Scranton, PA
Current
July 6, 2017 - Present
MUTUAL SECURITIES, INC.
Office #1: 132 Adams Avenue, Scranton, PA 18503BD
CRD#: 13092
Scranton, PA
Past
December 6, 2017 - February 4, 2021
WELLFULL
RIA
CRD#: 288705
Scranton, PA
Past
May 22, 2017 - December 31, 2017
PLATINUM WEALTH PARTNERS
RIA
CRD#: 145507
Scranton, PA
Past
May 19, 2017 - May 31, 2017
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Scranton, PA
Past
January 16, 2004 - May 30, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SCRANTON, PA
Past
July 1, 2003 - May 30, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SCRANTON, PA
Past
February 6, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CW
CAPITAL WEALTH INVESTMENTS
CAPITAL WEALTH INVESTMENTS | ZULLO INVESTMENT GROUP, INC. | ZULLO INVESTMENT GROUP
CRD#: 311698 / SEC#: 801-120008
RIA
Registered Investment Advisory firm - (12/18/2020 Approved)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.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
Delaware(4/26/2019)
RR
Florida(7/10/2017)
RR
Indiana(7/7/2017)
RR
Iowa(6/19/2020)
RR
Maryland(7/7/2017)
RR
New Jersey(7/10/2017)
RR
New York(7/10/2017)
RR
North Carolina(4/12/2019)
RR
Ohio(7/7/2017)
RR
Pennsylvania(7/7/2017)
IAR
Pennsylvania(12/23/2020)
RR
Texas(7/11/2017)
IAR
Texas(7/24/2023)
RR
Virginia(7/7/2017)
IAR
Virginia(1/4/2021)
RR
Washington(7/13/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CAPITAL WEALTH INVESTMENTS
CAPITAL WEALTH INVESTMENTS | ZULLO INVESTMENT GROUP, INC. | ZULLO INVESTMENT GROUP
CRD#: 311698 / SEC#: 801-120008
RIA
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Contact information
Main Address
132 Adams Avenue, Scranton, PA 18503
Mailing Address
Phone number
(570) 543-5255
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,318 |
| AUM (Assets Under Management) | $ 398,519,141 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
