RR
Richard C. Romano
STIFEL INDEPENDENT ADVISORS | Senior Financial Advisor
Driggs, ID
Some features on this profile are disabled
CRD#: 2646894
RR
Professional summary
Richard Charles Romano II, who also goes by Richard C Romano Jr, Richard Romano, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Driggs, Idaho.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
What are your service offerings?
Financial planning
Philanthropic services
Trust & estate planning
Institutional consulting
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Richard C Romano Jr | Richard Romano
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.
Teton Valley Community Resource Center; 1420 ID 33 Driggs ID 83452; Board Member; Entity Oversight; 11/01/2021; 8 hours per month; not during security trading hours; not inv related RCR Advisors; 1240 E 2100 S #400 Salt Lake City UT 84106; Owner; Manage Revenue; 8/18/2012; 8 hours per day; during security trading hours; inv related ARC Wealth Management LLC; 1240 E 2100 S #400 Salt Lake City UT 84106; Co-Owner; Inv Adv and Managing Ptr; 8/18/2012; 8 hours per day; during security trading hours; inv related ARC Wealth Management 401K LLC PSP; 1240 E 2100 S #400 Salt Lake City UT 84106; Trustee; 8/1/2012; 0 hours per day; not during security trading hours; inv related
CRS (Client Relationship Summary) - RIA
Click below to view Richard Charles Romano II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Romano II's 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®
NoneExperience
Current
June 20, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 1240 East 2100 South Suite 400, Salt Lake City, UT 84106RIA
BD
CRD#: 28218
Driggs, ID
Current
June 20, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #2: 1240 East 2100 South Suite 400, Salt Lake City, UT 84106RIA
BD
CRD#: 28218
Driggs, ID
Past
August 23, 2012 - July 5, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SALT LAKE CITY, UT
Past
August 23, 2012 - July 5, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SALT LAKE CITY, UT
Past
June 1, 2009 - September 5, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SALT LAKE CITY, UT
Past
June 1, 2009 - September 5, 2012
MORGAN STANLEY
BD
CRD#: 149777
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SALT LAKE CITY, UT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SALT LAKE CITY, UT
Past
August 20, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SALT LAKE CITY, UT
Past
July 23, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SALT LAKE CITY, UT
Past
October 13, 1995 - August 19, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Arizona(6/20/2023)
RR
California(6/20/2023)
RR
Colorado(6/20/2023)
RR
Florida(6/20/2023)
RR
Idaho(6/20/2023)
IAR
Idaho(6/21/2023)
RR
Illinois(6/20/2023)
RR
Indiana(6/20/2023)
RR
Massachusetts(5/13/2025)
RR
Minnesota(6/20/2023)
RR
Missouri(3/18/2024)
RR
Montana(6/20/2023)
RR
Nevada(6/20/2023)
RR
New Jersey(6/20/2023)
RR
New Mexico(6/20/2023)
RR
New York(6/20/2023)
RR
Oregon(6/20/2023)
RR
Pennsylvania(6/20/2023)
RR
Texas(6/20/2023)
IAR
Texas(6/20/2023)
RR
Utah(6/20/2023)
IAR
Utah(6/20/2023)
RR
Virginia(8/11/2025)
RR
Washington(6/20/2023)
RR
Wyoming(6/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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
STIFEL INDEPENDENT ADVISORS, LLC
Senior Financial AdvisorCRD#: 28218Driggs, IDTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
