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EM

Ellen Morabito Romano

AAG CAPITAL,
Wesley Chapel, FL 33544
Some features on this profile are disabled
CRD#: 7554069
EM

Professional summary

Ellen Morabito Romano is a registered financial professional currently at AAG CAPITAL, INC located in Wesley Chapel, Florida.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 2022. Ellen has worked at 1 firm and has passed the Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Ellen Morabito Romano'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

June 15, 2022 - Present

AAG CAPITAL, INC

Office #1: 2211 Ashley Oaks Circle, Wesley Chapel, FL 33544
BD
CRD#: 188
Wesley Chapel, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(6/15/2022)

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 6/15/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AAG CAPITAL, INC
AAG CAPITAL, INC
AAG CAPITAL, INC | CREATIVE INVESTOR SERVICES, INC. | AAG CAPITAL, INC.

CRD#: 188 / SEC#: , 8-12911

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2211 Ashley Oaks Circle, Wesley Chapel, FL 33544
Mailing Address
2211 Ashley Oaks Circle, Wesley Chapel, FL 33544
Phone number
(941) 932-2158
Established
Florida since 11/25/1981
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AAG CAPITAL HOLDINGS, LLCOWNER
GUINTA, GREGG ARTHURPRESIDENT3187502
SILVESTRO, MICHELEFINOP6960939
WILKES, DEREK ALLENCCO5168873

Disclosures

Regulatory Event1

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.

Company Information

AAG CAPITAL, INC

AAG CAPITAL, INC

CRD#: 188Wesley Chapel, FL 33544

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