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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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RR

Richard R. Romero

TD PRIVATE CLIENT WEALTH LLC
Vienna, VA 22182
Some features on this profile are disabled
CRD#: 2381082
RR

Professional summary

Richard Ronald 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 9, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Ronald Romero

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 Ronald Romero's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Ronald Romero'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®
CFP®

Certified Financial Planner

Experience

Current

January 28, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182
RIA
BD
CRD#: 164484
Vienna, VA
Current

January 29, 2026 - Present

TD PRIVATE CLIENT WEALTH LLC

Office #1: 1919 Gallows Road 2nd Floor, Vienna, VA 22182
RIA
BD
CRD#: 164484
Vienna, VA
Past

March 13, 2024 - December 1, 2025

Q3 ADVISORS, LLC

RIA
CRD#: 284220
Herndon, VA
Past

January 25, 2023 - March 19, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
VIENNA, VA
Past

January 25, 2023 - March 19, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
VIENNA, VA
Past

February 25, 2020 - January 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
LAKE RIDGE, VA
Past

February 25, 2020 - January 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
LAKE RIDGE, VA
Past

August 30, 2018 - January 8, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
VIENNA, VA
Past

July 13, 2018 - January 8, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
VIENNA, VA
Past

March 29, 2016 - July 9, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Tysons, VA
Past

March 29, 2016 - July 9, 2018

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Tysons, VA
Past

August 11, 2014 - April 22, 2016

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
WASHINGTON, DC
Past

August 11, 2014 - April 22, 2016

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
WASHINGTON, DC
Past

June 11, 2012 - July 2, 2013

XML SECURITIES

RIA
CRD#: 145589
FALLS CHURCH, VA
Past

June 11, 2012 - July 2, 2013

XML SECURITIES

BD
CRD#: 145589
FALLS CHURCH, VA
Past

August 2, 2010 - June 5, 2012

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
WASHINGTON, DC
Past

August 2, 2010 - June 5, 2012

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
WASHINGTON, DC
Past

May 4, 2010 - May 17, 2010

SANDERS MORRIS LLC

BD
CRD#: 20580
FAIRFAX, VA
Past

July 5, 2007 - September 7, 2007

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
FALLS CHURCH, VA
Past

October 18, 2004 - July 6, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
WASHINGTON, DC
Past

September 21, 2004 - July 6, 2005

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

January 23, 2003 - September 29, 2003

OSAIC FA, INC.

RIA
CRD#: 3978
VIENNA, VA
Past

January 2, 2003 - September 29, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

January 2, 2003 - September 29, 2003

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

June 18, 2002 - October 8, 2002

GV FINANCIAL ADVISORS, INC.

RIA
CRD#: 112118
ROCKVILLE, MD
Past

June 18, 2002 - October 8, 2002

JOYN ADVISORS, INC.

RIA
CRD#: 106725
ROCKVILLE, MD
Past

June 10, 2002 - October 16, 2002

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

May 15, 1997 - May 14, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

June 9, 1994 - May 21, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 2, 1993 - June 13, 1994

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA

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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York 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
Delaware
(2/4/2026)
IAR
Delaware
(2/4/2026)
RR
Florida
(2/4/2026)
IAR
Florida
(2/5/2026)
RR
Maryland
(2/4/2026)
IAR
Maryland
(2/4/2026)
RR
New Jersey
(2/4/2026)
IAR
New Jersey
(2/5/2026)
RR
New York
(2/4/2026)
IAR
New York
(2/4/2026)
RR
Pennsylvania
(2/4/2026)
IAR
Pennsylvania
(2/4/2026)
IAR
Virginia
(1/28/2026)
RR
Virginia
(1/29/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/14/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/5/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 7/8/1997
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/22/2013
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/26/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/12/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484 / SEC#: 801-77771, 8-69105

RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
671

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TD PRIVATE CLIENT WEALTH LLC MANAGED ACCOUNT PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)
TDPCW AUTOMATED INVESTING AND AUTOMATED INVESTING PLUS PROGRAM BROCHURE JANUARY 31 2026 (1/29/2026)

Direct owners and executive officers

NamePositionCRD#
TD BANK, NATIONAL ASSOCIATIONOWNER
BEGUN, ROBERTPRESIDENT4436053
CALDERON NAJERA, NAYRACCO5040972
CARROLL, ANNACOO4487506
CHABOT, ALAN JCEO2617874
ORTIZ, JORGE LUISCFO & FINOP2725922
WILSON, KEVIN KEITHFINOP5437711

Regulatory assets under management

Total Number of Accounts25,697
AUM (Assets Under Management)$ 8,255,945,350

Disclosures

Regulatory Event3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/30/2025
Cover Page
Report
09/27/2024
Cover Page
Report
06/27/2023
Cover Page
Report

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.

Company Information

TD PRIVATE CLIENT WEALTH LLC

CRD#: 164484Vienna, VA 22182

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