Daniel C. Rome
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Clay Rome, who also goes by Dan Rome, Daniel C Rome, Daniel Clay Rome, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2013 - August 29, 2017
LPL FINANCIAL LLC
September 9, 2013 - August 29, 2017
LPL FINANCIAL LLC
April 2, 2010 - May 20, 2011
HEDGECO SECURITIES, LLC
June 5, 2007 - April 9, 2008
CITI ORDER ROUTING AND EXECUTION, LLC
June 5, 2007 - April 9, 2008
AUTOMATED TRADING DESK BROKERAGE SERVICES, LLC
February 2, 2004 - May 30, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 2, 2004 - May 30, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 3, 2000 - January 13, 2004
1717 CAPITAL MANAGEMENT COMPANY
January 24, 1997 - September 28, 2000
VANGUARD MARKETING CORPORATION
October 24, 1995 - March 13, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1995 - March 13, 1997
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/2/2007
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
