Carole L. Rominger

PRASAD WEALTH PARTNERS

Durango, CO 81301

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CRD#: 2858356

Professional summary

Carole Leah Rominger, who also goes by Carole Edwards, Carole Leah Romingeredwards, is a registered financial advisor currently at PRASAD WEALTH PARTNERS located in Durango, Colorado.

Carole is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Carole has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carole Edwards | Carole Leah Romingeredwards

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.

NA POSITION: agent NATURE: 1) INSURANCE REVIEWS/NEW POLICY SALES - AGENT - INVESTMENT RELATED - START DATE: 7/2006 - LOCATED AT 679 E 2nd AVE STE E1-7, DURANGO, CO 81301 INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2006 ADDRESS: 679 E 2nd Ave, Ste E1-7, Durango CO 81301, United States DESCRIPTION:INSURANCE REVIEWS/NEWPOLICY PLACEMENT ARBOR POINT ADVISORS POSITION: iar NATURE: 2) INVESTMENT ADVISORY - ARBOR POINT ADVISORS - IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 145 START DATE: 06/01/2013 ADDRESS: 679 E 2nd Ave, Ste E1-7, Durango CO 81301, United States DESCRIPTION: Comprehensive financial advisory, investment management and planning.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carole Leah Rominger'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

August 27, 2025 - Present

PRASAD WEALTH PARTNERS

Office #1: 679 E. 2nd Ave. Ste E 1-7, Durango, CO 81301

RIA

CRD#: 332507

Durango, CO

Past

November 8, 2024 - August 28, 2025

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Durango, CO

Past

June 14, 2024 - August 28, 2025

OSAIC WEALTH, INC.

CRD#: 23131

DURANGO, CO

Past

June 28, 2013 - November 8, 2024

ARBOR POINT ADVISORS

RIA

CRD#: 165127

Durango, CO

Past

June 28, 2013 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

DURANGO, CO

Past

October 6, 2008 - July 1, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

DURANGO, CO

Past

October 3, 2008 - July 1, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

DURANGO, CO

Past

May 2, 2002 - October 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SACRAMENTO, CA

Past

July 15, 1998 - October 3, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SACRAMENTO, CA

Past

March 14, 1997 - July 31, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

PRASAD WEALTH PARTNERS

PRASAD WEALTH PARTNERS | PRASAD WEALTH PARTNERS, LLC

CRD#: 332507 / SEC#: 801-130984

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

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

California
(8/27/2025)

IAR

Colorado
(8/28/2025)

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: 8/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/13/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/26/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/26/2009

General Securities Sales Supervisor - Options Module Examination

Current Firm

PRASAD WEALTH PARTNERS

PRASAD WEALTH PARTNERS | PRASAD WEALTH PARTNERS, LLC

CRD#: 332507 / SEC#: 801-130984

RIA

Registered Investment Advisory firm - (8/29/2024 Approved)

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Contact information

Main Address

6050 Oak Tree Blvd. Suite 100, Independence, OH 44131

Mailing Address

Phone number

(216) 313-9999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRASAD WEALTH PARTNERS ADV PART 2A 03-26-2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,869
AUM (Assets Under Management)	$ 485,982,385

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

Carole L. Rominger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carole Leah Rominger's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC ADVISORY SERVICES, LLC

OSAIC WEALTH, INC.

ARBOR POINT ADVISORS

SECURITIES AMERICA, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

PRASAD WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/5/1998

Series 63

Date: 3/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/13/1997

Series 10

Date: 1/26/2009

Series 9

Date: 1/26/2009

Current Firm

PRASAD WEALTH PARTNERS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRASAD WEALTH PARTNERS

TRUST BUT VERIFY

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