Richard Romero
CFP®Professional Summary
Richard Romero, CFP®, who also goes by Richard Ronald Romero, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Vienna, Virginia. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 18 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Ronald Romero
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
TD PRIVATE CLIENT WEALTH LLC
Contact Information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017Phone Number
(877) 703-9896Established
Delaware since 07/13/2012Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
Large# of Employees
671SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
25,698AUM (Assets Under Management)
$8,574,585,303Disclosures
Regulatory Event
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | Cover Page | Report |
| 09/27/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
State Registrations and Notice Filings
(2/4/2026)
(2/4/2026)
(2/4/2026)
(2/5/2026)
(2/4/2026)
(2/4/2026)
(2/4/2026)
(2/5/2026)
(2/4/2026)
(2/4/2026)
(2/4/2026)
(2/4/2026)
(1/28/2026)
(1/29/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Romero's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Romero's CRS (Customer Relationship Summary).
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