WR
William J. Romeo
BEAM WEALTH ADVISORS
COCONUT CREEK, FL
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CRD#: 1055149
WR
Professional summary
William Joseph Romeo, who also goes by Bill Romeo, is a registered financial advisor currently at BEAM WEALTH ADVISORS, INC. located in Coconut Creek, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Coconut Creek, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Romeo
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) BEAM WEALTH ADVISORS INC DBA FINESTPLAN LLC. Investment related. Located at - please see Office of Employment Address. Nature - RIA. Position - Investment Advisor Representative. Start - 05/2022. 160 hours per month, all during trading hours. Duties - to assist clients with achieving their investment goals. 2) ROMEO TRANSCRIPTION. Not Investment related. Located at - please see Office of Employment Address. Nature - Visiting Nurse transcription. Position - Secretary. Start - 01/2000. 0.25 hours per month, not during trading hours. Duties- Acting Secretary; review activities. 3) FIXED INSURANCE. Investment Related. Located - please see Office of Employment Address. Nature - Fixed/ Traditional Insurance. Position - Agent. Start - 06/1999. 5 hours per month, all during trading hours. Duties - Sales of Fixed/ Traditional insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view William Joseph Romeo's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 10, 2003 - Present
BEAM WEALTH ADVISORS, INC.
RIA
CRD#: 109867
COCONUT CREEK, FL
Current
May 12, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #2: 80 State Street, Albany, NY 12207BD
CRD#: 35747
Coconut Creek, FL
Past
July 9, 2015 - April 1, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
COCONUT CREEK, FL
Past
September 8, 2009 - July 21, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
COCONUT CREEK, FL
Past
March 31, 1999 - December 2, 2003
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
POMPANO BEACH, FL
Past
March 31, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
POMPANO BEACH, FL
Past
November 26, 1993 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
July 6, 1990 - December 3, 1993
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
October 12, 1988 - June 5, 1990
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
April 14, 1983 - July 27, 1988
NORTH AMERICAN INVESTMENT CORP.
BD
CRD#: 7568
Past
August 13, 1982 - April 18, 1983
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
Registered Investment Advisory firm - (6/22/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(5/12/2022)
IAR
Florida(2/10/2003)
RR
Florida(5/12/2022)
RR
Georgia(5/12/2022)
RR
New York(5/12/2022)
RR
North Dakota(5/12/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BEAM WEALTH ADVISORS, INC.
ADVOCACY FINANCIAL, LLC | WHIDDON WEALTH MANAGEMENT, LLC | UNIVERSAL FINANCIAL GROUP, INC | TRUE COMPASS FINANCIAL, LLC | THRESHOLD, INC. | SUMMIT INVESTMENT GROUP LLC | SOMMER INVESTMENTS, LLC | ROMANO INSURANCE & INVESTMENT GROUP | ROGERS AND ROGERS | PREMIER WEALTH MANAGEMENT GROUP | OBAN WEALTH MANAGEMENT LLC | MOUNTAIN WEST WEALTH | JUDD WEALTH MANAGEMENT | JOSEPH PIRETTI & ASSOCIATES | JDS WEALTH STRATEGIES | FINESTPLAN LC | FINANCIAL DESIGN GROUP | FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. | FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. | DAVIS FINANCIAL | CYPRESS FINANCIAL GROUP | CHARLES BRYAN FINANCIAL GROUP | BGA WEALTH | BGA 401K | BENEDETTI, GUCER & ASSOCIATES | BEAM WEALTH ADVISORS, INC. | BEAM WEALTH ADVISORS | BEAM ASSET MANAGEMENT, LLC | BEAM ASSET MANAGEMENT
CRD#: 109867 / SEC#: 801-60334
RIA
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Contact information
Main Address
72096 Ramos Avenue Suite D, Covington, LA 70433
Mailing Address
Phone number
(985) 893-1440
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,006 |
| AUM (Assets Under Management) | $ 1,314,316,357 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
