Ellen Morabito Romano
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.
Ellen Morabito Romano was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2022. Ellen had worked at 1 firm and has passed the Series 6TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2022 - August 12, 2026
AAG CAPITAL, INC
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
What does exam status mean?
Series 6TO
Passed: 6/15/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AAG CAPITAL, INC
CRD#: 188 / SEC#: , 8-12911
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
