Rachel Toscano

AGW CAPITAL ADVISORS

TAMPA, FL 33606

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CRD#: 7398561

Professional summary

Rachel Toscano is a registered financial advisor currently at AGW CAPITAL ADVISORS located in Tampa, Florida.

Rachel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Rachel has worked at 2 firms and has passed the Series 65 and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Toscano's CRS (Customer Relationship Summary).

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 22, 2022 - Present

AGW CAPITAL ADVISORS

Office #1: 511 W. Bay Street Suite 310, Tampa, FL 33606

RIA

CRD#: 150570

TAMPA, FL

Past

July 19, 2021 - August 3, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Orlando, FL

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".

AGW CAPITAL ADVISORS

AGW CAPITAL ADVISORS | ANNIS GARDNER WHITING CAPITAL ADVISORS LLC | ANNIS GARDNER CAPITAL, LLC

CRD#: 150570 / SEC#: 801-70256

RIA

Registered Investment Advisory firm - (6/1/2009 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.

Highlighted states indicate IAR registrations

IAR

Florida
(4/22/2022)

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: 7/19/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/16/2021

Securities Industry Essentials Examination

Current Firm

AGW CAPITAL ADVISORS

AGW CAPITAL ADVISORS | ANNIS GARDNER WHITING CAPITAL ADVISORS LLC | ANNIS GARDNER CAPITAL, LLC

CRD#: 150570 / SEC#: 801-70256

RIA

Registered Investment Advisory firm - (6/1/2009 Approved)

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Contact information

Main Address

511 W. Bay Street Suite 310, Tampa, FL 33606

Mailing Address

Phone number

(813) 254-4700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,257
AUM (Assets Under Management)	$ 1,480,003,689

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
10/23/2023	Cover Page	Report
09/27/2022	Cover Page	Report

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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Rachel Toscano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Toscano's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGW CAPITAL ADVISORS

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

AGW CAPITAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2021

SIE

Date: 4/16/2021

Current Firm

AGW CAPITAL ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

AGW CAPITAL ADVISORS

TRUST BUT VERIFY

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