Douglas J. Romano
Professional summary
Douglas Joseph Romano is a registered financial professional currently at VISION 4 FUND DISTRIBUTORS located in Scottsdale, Arizona.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2007. Douglas has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Joseph Romano's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2019 - Present
VISION 4 FUND DISTRIBUTORS
Office #1: 9260 E. Raintree Drive Suite 100, Scottsdale, AZ 85260November 8, 2013 - June 21, 2019
HASTINGS CAPITAL GROUP, LLC
July 9, 2007 - October 1, 2013
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/24/2019)
Exams
FINRA
Current Firm
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
Red Flags
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