Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Harry? Claim Your ProfileHarry Michel Romain is an active investment advisor representative with Commonwealth Financial Network. Harry has been in the financial services industry since May 3, 1987. Harry holds Series 6, 22, 62, and 63 licenses and is licensed to provide investment advice in 27 states including California, Florida, and New York. Harry is currently registered with Commonwealth Financial Network and has previously worked at Sunpoint Securities, Inc. and MIMLIC Sales Corporation.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
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2
RI
06/23/1995 - Present
Commonwealth Financial Network (CRANSTON RI)
TX
02/06/1992 - 01/12/1993
SUNPOINT SECURITIES, INC. (LONGVIEW TX)
MN
05/04/1987 - 09/01/1992
MIMLIC SALES CORPORATION (ST. PAUL MN)
IA
Issued 11/15/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1995
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 10/18/1989
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 05/01/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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