DG
Douglas N. Geisser
ROMANO BROTHERS AND COMPANY
Naples, FL
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CRD#: 1137506
DG
Professional summary
Douglas Norman Geisser, who also goes by Douglas N Geisser, is a registered financial advisor currently at ROMANO BROTHERS AND COMPANY located in Naples, Florida.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Douglas has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas N Geisser
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Norman Geisser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Norman Geisser'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
June 25, 1998 - Present
ROMANO BROTHERS AND COMPANY
RIA
BD
CRD#: 3215
Naples, FL
Current
May 2, 1990 - Present
ROMANO BROTHERS AND COMPANY
Office #1: 1560 Sherman Avenue Suite 1300, Evanston, IL 60201Office #2: 1560 Sherman Avenue Ste 1300, Evanston, IL 60201RIA
BD
CRD#: 3215
Evanston, IL
Past
August 12, 1983 - May 4, 1990
COLUMBIAN SECURITIES, INC.
BD
CRD#: 1499
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".
ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY
CRD#: 3215 / SEC#: 801-27061, 8-14213
RIA
Registered Investment Advisory firm - SEC (5/23/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
Alabama(7/9/2018)
RR
Arizona(2/12/2018)
IAR
Arizona(1/29/2019)
RR
California(4/29/2005)
IAR
California(9/27/2018)
RR
Colorado(4/20/2012)
IAR
Colorado(10/12/2018)
RR
Connecticut(10/28/2024)
RR
District of Columbia(6/7/2017)
IAR
District of Columbia(4/19/2023)
RR
Florida(4/20/2012)
IAR
Florida(2/20/2019)
RR
Georgia(6/19/2018)
RR
Illinois(5/2/1990)
IAR
Illinois(6/25/1998)
RR
Indiana(4/20/2012)
IAR
Indiana(10/19/2018)
RR
Kentucky(6/18/2018)
RR
Massachusetts(2/28/2008)
RR
New Mexico(2/12/2018)
RR
Oregon(3/10/2017)
IAR
Oregon(11/8/2019)
RR
Rhode Island(11/1/2017)
RR
Texas(4/20/2012)
IAR
Texas(1/21/2021)
RR
Utah(3/31/2025)
IAR
Utah(3/31/2025)
RR
Washington(4/29/2005)
IAR
Washington(10/30/2025)
RR
Wisconsin(4/20/2012)
IAR
Wisconsin(1/17/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY
CRD#: 3215 / SEC#: 801-27061, 8-14213
RIA
Registered Investment Advisory firm - SEC (5/23/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1560 Sherman Avenue Ste 1300, Evanston, IL 60201
Mailing Address
1560 Sherman Avenue Suite 1300, Evanston, IL 60201
Phone number
(847) 866-7700
Established
Illinois since 08/01/1963
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
16
SEC notice filing (26 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 1,388,470,813 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/31/2023 |
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.
