Ann Marie Ocone

Employer firm

New England Capital Financial Advisors LLC CRD 109203

$768M regulatory AUM 1,205 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

New England Capital Financial Advisors Llc

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2012-05-25

CT RA
APPROVED

Since 2012-05-25

Branch Locations

1781 Highland Ave Ste 102, Cheshire, CT 06410-1254 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
New England Capital	S Meriden	CT	12/2006	Present
Purshe Kaplan Sterling Investments	Albany	NY	01/2013	09/2023

12/2006 → Present

New England Capital

S Meriden, CT
01/2013 → 09/2023

Purshe Kaplan Sterling Investments

Albany, NY

Other Businesses

Napier Foundation-Not investment related-35 Pleasant St., Ste. 1E, Meriden, CT, 06450-Non-profit organization-Board member-5/14/19-3-5 hrs/quarter-Attend quarterly meetings, reciew grant application, grant synopsis, financial statements & meeting minutes

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2013-05-01
S65	Uniform Investment Adviser Law Examination	2012-05-22

S63 Uniform Securities Agent State Law Examination

2013-05-01
S65 Uniform Investment Adviser Law Examination

2012-05-22

Designations

Certified Financial Planner

Other Names

Ann Marie Ocone
Ann Marie Carabetta
Ann Marie Carabetta

View on SEC IAPD