Joseph A. Romano

EAGLE WEALTH ADVISORS

Brooklyn, NY

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CRD#: 1251672

Professional summary

Joseph Anthony Romano is a registered financial advisor currently at EAGLE WEALTH ADVISORS located in Brooklyn, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Eagle Wealth Advisors LLC located at 171 Columbia Heights, Unit 2A, Brooklyn, NY 11201; Investment Advisory Firm; Investment Related; CEO/CCO/Investment Advisor; Start Date: 10/2019; 160 hours per month are devoted to the business; 140 hours per month are utilized during securities trading hours. 2) Michael Riotto Design LLC located at 9-03 44th Road, Queens, Long Island City, NY 11101; Commercial Lighting Company; Not Investment Related; Business Development; Start Date: 02/2019; Approximately 45 hours or less per month are devoted to this business; Approximately 20 hours per month are utilized during securities trading hours. 3) Brooklyn Heights Production LLC, which has no physical location; Theatre and Musical Production Company; Not Investment Related; CEO; Start Date: 01/2024; Approximately 27 hours or less per month are devoted to this business; Approximately 10 hours per month are utilized during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Romano's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 14, 2020 - Present

EAGLE WEALTH ADVISORS

RIA

CRD#: 299219

Brooklyn, NY

Past

June 17, 2015 - July 21, 2021

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

SARASOTA, FL

Past

June 17, 2015 - July 21, 2021

AEGIS CAPITAL CORP.

CRD#: 15007

SARASOTA, FL

Past

January 12, 2015 - June 17, 2015

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

SARASOTA, FL

Past

January 7, 2015 - June 17, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

SARASOTA, FL

Past

November 6, 2012 - January 8, 2015

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

SARASOTA, FL

Past

July 1, 2005 - January 8, 2015

CADARET, GRANT & CO., INC.

CRD#: 10641

SARASOTA, FL

Past

June 1, 2005 - July 28, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 3, 2000 - June 1, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 20, 1984 - October 27, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

April 19, 1984 - September 20, 1984

FORESTERS FINANCIAL SERVICES, INC.

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".

EAGLE WEALTH ADVISORS

EAGLE WEALTH ADVISORS | LCM CAPITAL ADVISORS

CRD#: 299219 / SEC#: 801-117505

RIA

Registered Investment Advisory firm - (10/24/2019 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.

Highlighted states indicate IAR registrations

IAR

Florida
(5/14/2020)

IAR

New York
(7/22/2022)

IAR

Texas
(3/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/5/2024

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/5/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EAGLE WEALTH ADVISORS

EAGLE WEALTH ADVISORS | LCM CAPITAL ADVISORS

CRD#: 299219 / SEC#: 801-117505

RIA

Registered Investment Advisory firm - (10/24/2019 Approved)

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Contact information

Main Address

Brooklyn, NY

Mailing Address

Phone number

(860) 462-0796

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAGLE WEALTH ADVISORS BROCHURE (JANUARY 2025) (1/31/2025)

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 138,312,902

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.

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Firm Stability Insights

Joseph A. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Anthony Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

EAGLE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/2012

Series 63

Date: 4/18/1984

Series 7TO

Date: 1/5/2024

Series 6TO

Date: 1/5/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

Series 6

Date: 4/18/1984

Current Firm

EAGLE WEALTH ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EAGLE WEALTH ADVISORS

TRUST BUT VERIFY

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