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Rick Joseph Romano

Prudential Investment Management Services LLC

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About Rick Joseph Romano

Rick Romano is a registered investment advisor with Prudential Investment Management Services LLC. Rick has been in the financial services industry since February 14, 2000. Rick holds the Series 63 and SIE licenses. Rick is registered in New Jersey.

Firm Information

Rick Romano is currently registered with Prudential Investment Management Services LLC. Prudential Investment Management Services LLC is a Limited Liability Company formed on October 9, 1996. It is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

315

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Rick Romano’s Registration & Firm History

NJ

02/15/2000 - Present

Prudential Investment Management Services LLC (Newark NJ)

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Licenses & Designations

BC

Issued 03/31/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rick Joseph Romano.
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