Romaine A. Macomb
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Romaine Anne Macomb, CFP®, who also goes by Romaine Ann Macomb, was a registered financial professional .
Romaine is a previously registered financial professional and started their career in finance in 1987. Romaine had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
December 8, 2020 - January 2, 2025
PRINCIPLE WEALTH
June 9, 2014 - January 8, 2021
NORTHSTAR WEALTH PARTNERS LLC
August 7, 2013 - September 7, 2016
LPL FINANCIAL LLC
August 7, 2013 - January 11, 2021
LPL FINANCIAL LLC
December 2, 2003 - August 16, 2013
ESSEX FINANCIAL SERVICES, INC.
September 22, 2003 - August 16, 2013
ESSEX FINANCIAL SERVICES, INC.
February 5, 1996 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 18, 1989 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 1989 - July 27, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 12, 1987 - February 6, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
PRINCIPLE WEALTH
CRD#: 290180 / SEC#: 801-111911
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPLE WEALTH
CRD#: 290180 / SEC#: 801-111911
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,732 |
| AUM (Assets Under Management) | $ 2,658,955,480 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/13/2024 | ||
| 05/09/2023 |
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.
