Ryann A. Marotta
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.
Ryann Alexis Marotta, CFA, CFP® was a registered financial professional .
Ryann is a previously registered financial professional and started their career in finance in 2007. Ryann had worked at 4 firms and has passed the Series 63, SIE 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
Start date: 2017
Experience
May 30, 2017 - March 8, 2021
AUSTIN ASSET
October 29, 2010 - June 16, 2015
NORTHERN TRUST SECURITIES, INC.
March 25, 2008 - October 7, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2007 - March 3, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
AUSTIN ASSET
CRD#: 105441 / SEC#: 801-32217
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
AUSTIN ASSET
CRD#: 105441 / SEC#: 801-32217
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,243 |
| AUM (Assets Under Management) | $ 1,666,286,145 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/26/2024 | ||
| 10/21/2022 |
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.
