Erin A. Morano
Professional summary
Erin Ann Morano, who also goes by Erin Ann O'sullivan, is a registered financial professional currently at OSAIC WEALTH, INC. located in Scottsdale, Arizona and LADENBURG THALMANN & CO. INC. located in New York, New York.
Erin is registered as a RR (Registered Representative) and started their career in finance in 2008. Erin has worked at 10 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erin Ann Morano's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2003 - Present
OSAIC WEALTH, INC.
Office #1: 18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255June 2, 2022 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019September 21, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
September 21, 2021 - August 23, 2024
TRIAD ADVISORS LLC
May 17, 2013 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
March 20, 2013 - April 29, 2016
VALIC FINANCIAL ADVISORS, INC.
May 7, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
May 7, 2008 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
May 7, 2008 - September 1, 2023
OSAIC SERVICES, INC.
May 7, 2008 - November 3, 2023
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2008)
(6/30/2008)
(1/19/2024)
(6/6/2022)
(12/15/2003)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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