Romeo A. Bertolini

LAUFER WEALTH MANAGEMENT

BABYLON, NY 11702

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CRD#: 2650107

Professional summary

Romeo Antonio Bertolini, who also goes by Conte Bertolini, Romeo Anthony Bertolini, is a registered financial advisor currently at LAUFER WEALTH MANAGEMENT, LLC located in Babylon, New York.

Romeo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Romeo has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Conte Bertolini | Romeo Anthony Bertolini

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.

1)10/31/19- North East Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- Lindenhurst, NY- 160hrs/mth- 100% 2)10/31/19- LAUFER LLP- Tax Prep/Accounting/CPA- Inv. Related- Babylon, NY- start date 12/15/2003- 170hrs/mth - 95% 3)10/31/19- Romeo Bertolini - Non-Variable Insurance/ Agent for health- Inv. Related- Babylon, NY- start date 6/1/2012- 1hr/mth - 1% 4)10/31/19-Romeo Bertolini- Real Estate Rental - Owner- Inv. Related- Ozone Park, NY- start date 3/15/2017- 2hrs/mth- 1% 5)10/31/19- Laufer Wealth Management LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Babylon, NY- start date 10/17/2014-1hrs/mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Romeo Antonio Bertolini'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®

None

Experience

Current

May 29, 2020 - Present

LAUFER WEALTH MANAGEMENT, LLC

Office #1: 406 Deer Park Avenue, Babylon, NY 11702

RIA

CRD#: 173446

BABYLON, NY

Past

November 4, 2019 - January 14, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

LINDENHURST, NY

Past

October 31, 2019 - January 14, 2022

LPL FINANCIAL LLC

CRD#: 6413

LINDENHURST, NY

Past

March 7, 2018 - December 31, 2019

LAUFER WEALTH MANAGEMENT, LLC

RIA

CRD#: 173446

BABYLON, NY

Past

December 10, 2014 - January 15, 2019

NORTH RIDGE SECURITIES CORP.

CRD#: 27098

babylon, NY

Past

October 21, 2011 - December 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 2, 2006 - September 9, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

September 30, 2003 - January 14, 2005

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

December 5, 2001 - January 31, 2002

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

November 17, 2000 - November 28, 2001

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

August 28, 1997 - November 18, 1999

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

August 14, 1995 - December 19, 1996

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

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".

LAUFER WEALTH MANAGEMENT, LLC

LANDAU ARNOLD LAUFER WEALTH MANAGEMENT, LLC | LAUFER WEALTH MANAGEMENT, LLC

CRD#: 173446 / SEC#: 801-109945

RIA

Registered Investment Advisory firm - (2/9/2017 Approved)

New York

Registered Investment Advisory firm - (2/27/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/22/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/21/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/11/1995

General Securities Representative Examination

Current Firm

LAUFER WEALTH MANAGEMENT, LLC

LANDAU ARNOLD LAUFER WEALTH MANAGEMENT, LLC | LAUFER WEALTH MANAGEMENT, LLC

CRD#: 173446 / SEC#: 801-109945

RIA

Registered Investment Advisory firm - (2/9/2017 Approved)

New York

Registered Investment Advisory firm - (2/27/2017 Terminated)

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Contact information

Main Address

406 Deer Park Avenue, Babylon, NY 11702

Mailing Address

Phone number

(631) 226-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/3/2025)

Regulatory assets under management

Total Number of Accounts	143
AUM (Assets Under Management)	$ 123,580,063

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.

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Firm Stability Insights

Romeo A. Bertolini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Romeo Antonio Bertolini's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LAUFER WEALTH MANAGEMENT, LLC

NORTH RIDGE SECURITIES CORP.

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

FIS BROKERAGE & SECURITIES SERVICES LLC

RUMSON CAPITAL, LLC

RUMSON CAPITAL, LLC

CONTINENTAL BROKER-DEALER CORP.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

LAUFER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2018

Series 63

Date: 5/23/1996

Series 7TO

Date: 3/29/2024

SIE

Date: 10/1/2018

Series 55

Date: 2/21/2001

Series 7

Date: 8/11/1995

Current Firm

LAUFER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUFER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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