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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Romano is a financial advisor with over 27 years of experience in the industry. He is currently registered with Stifel Independent Advisors, LLC in Salt Lake City, UT, where he has been since June of 2023. Prior to that, he worked at Wells Fargo Advisors Financial Network, LLC. He is a Series 7, 9, 10, 31, 63, and 65 licensed professional. Richard Romano offers financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals. His clients include corporations, businesses, individuals, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and banking or thrift institutions.
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
MO
06/20/2023 - Present
Stifel Independent Advisors, LLC (ST. LOUIS MO)
UT
08/23/2012 - 07/05/2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (SALT LAKE CITY UT)
UT
06/01/2009 - 09/05/2012
MORGAN STANLEY SMITH BARNEY (SALT LAKE CITY UT)
UT
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SALT LAKE CITY UT)
UT
07/23/1999 - 04/02/2007
MORGAN STANLEY DW INC. (SALT LAKE CITY UT)
NJ
10/13/1995 - 08/19/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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