Pamela J. Romano

N.N.A.I.A

Syosset, NY 11791

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CRD#: 5918046

Professional summary

Pamela Jeanne Romano, who also goes by Pamela Jeanne Tucciarone, is a registered financial advisor currently at N.N.A.I.A located in Syosset, New York.

Pamela is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Pamela has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pamela Jeanne Tucciarone

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.) INDEPENDENT CAPTIVE ASSOCIATES, 300 S. OYSTER BAY ROAD, SYOSSET, NY 11791. THIS ORGANIZATION SETS UP CAPTIVE INSURANCE COMPANIES WHICH CAN INCLUDE LIFE, PROPERTY AND CASUALTY INSURANCE HEALTH INSURANCE AND/OR ADVISORY PRODUCTS. NOT INVESTMENT RELATED, 60% OF TIME DEVOTED TO THIS BUSINESS. ALL OF THIS TIME IS DURING SECURITIES TRADING HOURS. PAMELA HAS ADMINISTRATIVE RESPONSIBILITY AND HELPS TO FACILITATE THE CREATION OF THE CAPITVE ORGANIZATION. 2.) NAME OF BUSINESS: AERLINGUS-300 JERICHO QUADRANGLE, STE. 130, JERICHO, NY 11753 (MAIN OFFICE)-PAM WORKS FROM HOME. START DATE-7/16/18. NATURE OF BUSINESS-AIRLINE/TRAVEL, POSITION-GUEST SERVICES. NOT INVESTMENT-RELATED. 80 HOURS WORKED PER MONTH-0 DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pamela Jeanne Romano'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®

None

Experience

Current

April 1, 2013 - Present

N.N.A.I.A

Office #1: 6900 Jericho Turnpike Suite 300, Syosset, NY 11791

RIA

CRD#: 114164

Syosset, NY

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(4/1/2013)

IAR

New York
(6/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/2012

Uniform Investment Adviser Law Examination

Current Firm

N.N.A.I.A

N.N.A. INVESTMENT ADVISORS, INC. | N.N.A.I.A

CRD#: 114164 / SEC#:

California

Registered Investment Advisory firm - (11/30/2013 Terminated)

Connecticut

Registered Investment Advisory firm - (9/9/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (6/16/2006 Approved)

New York

Registered Investment Advisory firm - (8/22/2002 Approved)

Ohio

Registered Investment Advisory firm - (8/16/2020 Terminated)

South Carolina

Registered Investment Advisory firm - (8/14/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

6900 Jericho Turnpike Suite 300, Syosset, NY 11791

Mailing Address

Phone number

(516) 629-9045

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Pamela J. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Pamela Jeanne Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

N.N.A.I.A

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2012

Current Firm

N.N.A.I.A

Contact information

Documents

Red Flags

Company Information

N.N.A.I.A

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