Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Romano is a financial advisor with over 25 years of experience in the industry. Charles is currently registered with Wells Fargo Clearing Services, LLC and is also registered with the state of Ohio as an Investment Advisor Representative. Charles has previously worked with several other well-known firms, including Morgan Stanley, Edward Jones, Fidelity Brokerage Services LLC, UBS Financial Services Inc, TIAA-CREF Individual & Institutional Services, LLC, Citigroup Global Markets Inc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., SunTrust Securities, Inc., and Wall Street Investor Services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
03/21/2022 - Present
Wells Fargo Clearing Services, LLC (COLUMBUS OH)
OH
05/14/2010 - 04/06/2022
MORGAN STANLEY (Columbus OH)
MO
02/08/2010 - 04/05/2010
EDWARD JONES (ST. LOUIS MO)
OH
03/02/2009 - 12/04/2009
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE OH)
OH
04/16/2008 - 01/27/2009
UBS FINANCIAL SERVICES INC. (UPPER ARLINGTON OH)
OH
05/14/2007 - 03/17/2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DUBLIN OH)
OH
08/08/2003 - 03/26/2007
CITIGROUP GLOBAL MARKETS INC. (DUBLIN OH)
NY
06/01/1999 - 07/10/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
01/05/1996 - 05/14/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
GA
10/24/1995 - 11/02/1995
SUNTRUST SECURITIES, INC. (ATLANTA GA)
NY
05/03/1995 - 06/22/1995
WALL STREET INVESTOR SERVICES (NEW YORK NY)
RI
03/23/1993 - 02/23/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 04/20/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 05/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/03/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Charles Romano is the right advisor for you? Invested Better is here to help.
