Natalie A. Romano

ROMANO BROTHERS AND COMPANY

Evanston, IL 60201

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CRD#: 2762706

Professional summary

Natalie Allyn Romano, who also goes by Natalie A Falco, Natalie Allyn Falco, is a registered financial professional currently at ROMANO BROTHERS AND COMPANY located in Evanston, Illinois.

Natalie is registered as a RR (Registered Representative) and started their career in finance in 1996. Natalie has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Natalie A Falco | Natalie Allyn Falco

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) - BD

Click below to view Natalie Allyn Romano'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

April 29, 1999 - Present

ROMANO BROTHERS AND COMPANY

Office #1: 1560 Sherman Avenue Suite 1300, Evanston, IL 60201Office #2: 1560 Sherman Ave. Suite 1300, Evanston, IL 60201

RIA

CRD#: 3215

Evanston, IL

Past

May 6, 1997 - April 1, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 13, 1996 - April 11, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, 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".

ROMANO BROTHERS AND COMPANY

ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA

Registered Investment Advisory firm - SEC (5/23/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(4/29/1999)

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: 7/21/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/12/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ROMANO BROTHERS AND COMPANY

ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA

Registered Investment Advisory firm - SEC (5/23/1986 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1560 Sherman Avenue Ste 1300, Evanston, IL 60201

Mailing Address

1560 Sherman Avenue Suite 1300, Evanston, IL 60201

Phone number

(847) 866-7700

Established

Illinois since 08/01/1963

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (26 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 PLUS BROCHURE SUPPLEMENT (1/31/2025)

WRAP PROGRAM BROCHURE (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
ROMANO, JOSEPH RICHARDVIKTORY	PRESIDENT	2659164
ROMANO, RICHARD CONSTANTINO	CHAIRMAN	403390
BEDERMAN, ERIC ARTHUR	CFO/CCO	2074318
GEISSER, DOUGLAS NORMAN	VICE PRESIDENT	1137506

Regulatory assets under management

Total Number of Accounts	2,015
AUM (Assets Under Management)	$ 1,388,470,813

Disclosures

Regulatory Event	1
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
07/31/2023	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.

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Natalie A. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Natalie Allyn Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ROMANO BROTHERS AND COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/1997

Series 63

Date: 9/16/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/13/2000

Series 7

Date: 8/12/1996

FINRA

Current Firm

ROMANO BROTHERS AND COMPANY

Contact information

SEC notice filing (26 States and Territories)

FINRA licenses (38 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ROMANO BROTHERS AND COMPANY

TRUST BUT VERIFY

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