Richard D. Romey

ETF PORTFOLIO PARTNERS

LEAWOOD, KS 66224

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CRD#: 1390931

Professional summary

Richard Dean Romey, who also goes by Rich Romey, is a registered financial advisor currently at ETF PORTFOLIO PARTNERS, INC. located in Leawood, Kansas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Romey

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dean Romey'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

April 16, 2004 - Present

ETF PORTFOLIO PARTNERS, INC.

Office #1: 4831 W. 136th Street Suite 300, Leawood, KS 66224

RIA

CRD#: 128366

LEAWOOD, KS

Past

July 1, 2003 - April 22, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OVERLAND PARK, KS

Past

July 1, 2003 - April 22, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 15, 1989 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

OVERLAND PARK, KS

Past

September 15, 1989 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 23, 1988 - September 16, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

May 9, 1986 - March 11, 1988

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

July 24, 1985 - January 1, 1986

INVESTACORP, INC.

CRD#: 7684

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".

ETF PORTFOLIO PARTNERS, INC.

ETF PORTFOLIO PARTNERS, INC. | ROMEY CAPITAL MANAGEMENT INC. | ETF PORTFOLIO SOLUTIONS, INC.

CRD#: 128366 / SEC#: 801-80946

RIA

Registered Investment Advisory firm - (2/5/2015 Approved)

Kansas

Registered Investment Advisory firm - (2/16/2015 Terminated)

Missouri

Registered Investment Advisory firm - (2/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(12/23/2019)

IAR

Florida
(4/29/2019)

IAR

Kansas
(4/19/2004)

IAR

Missouri
(4/16/2004)

IAR

Nebraska
(11/8/2024)

IAR

North Carolina
(6/13/2025)

IAR

Texas
(1/31/2012)

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: 2/3/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/5/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/23/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

ETF PORTFOLIO PARTNERS, INC.

ETF PORTFOLIO PARTNERS, INC. | ROMEY CAPITAL MANAGEMENT INC. | ETF PORTFOLIO SOLUTIONS, INC.

CRD#: 128366 / SEC#: 801-80946

RIA

Registered Investment Advisory firm - (2/5/2015 Approved)

Kansas

Registered Investment Advisory firm - (2/16/2015 Terminated)

Missouri

Registered Investment Advisory firm - (2/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (2/16/2015 Terminated)

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Contact information

Main Address

4831 W. 136th Street Suite 300, Leawood, KS 66224-5922

Mailing Address

Phone number

(913) 851-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETF PORTFOLIO PARTNERS FIRM BROCHURE 1-2-24 (2/24/2025)

Regulatory assets under management

Total Number of Accounts	416
AUM (Assets Under Management)	$ 369,045,238

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard D. Romey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Dean Romey's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

FIDELITY BROKERAGE SERVICES LLC

INVESTACORP, INC.

Primary Firm SEC Registration

ETF PORTFOLIO PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/1993

Series 63

Date: 7/26/1985

Series 3

Date: 9/5/1991

Series 7

Date: 7/20/1985

Series 10

Date: 8/23/1999

Series 9

Date: 8/23/1999

Current Firm

ETF PORTFOLIO PARTNERS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETF PORTFOLIO PARTNERS, INC.

TRUST BUT VERIFY

Contact information

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