Ann 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.
Ann Romano, who also goes by Ann Scotto, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1979. Ann had worked at 8 firms and has passed the 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
Experience
October 26, 1999 - June 27, 2015
REPEX & CO., INC.
June 25, 1999 - October 21, 1999
TUCKER ANTHONY INCORPORATED
March 31, 1998 - June 29, 1999
CIBC WORLD MARKETS CORP.
July 30, 1997 - April 3, 1998
AXIOM CAPITAL MANAGEMENT, INC.
August 2, 1994 - September 20, 1996
FIRST ASSET MANAGEMENT, INC.
February 4, 1988 - August 2, 1994
EMANUEL AND COMPANY
May 22, 1986 - February 4, 1988
BEURET & COMPANY, LTD.
February 2, 1981 - December 19, 1985
ROTAN MOSLE INC.
September 7, 1979 - March 2, 1981
CIBC WORLD MARKETS CORP.
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
REPEX & CO., INC.
CRD#: 10116 / SEC#: , 8-26431
Contact information
Documents
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.
