AR
Alfred L. Romano
FINANCIAL TRANSPARENCY
Salisbury, NH
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CRD#: 3230692
AR
Professional summary
Alfred Luigi Romano JR, who also goes by Al Romano Jr., is a registered financial advisor currently at FINANCIAL TRANSPARENCY located in Salisbury, New Hampshire.
Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Alfred has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Romano Jr.
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.
Clear Perspective Advisors, LLC, Investment Related, 86 Loverin Hill Rd Salisbury NH 03268, Financial Services, Member, 1/1/09, 16 Hrs/Month, Managerial and servicing clients. Robert G Stinson & Associates PC, CPA, VP, Non-investment related, 1 Pillsbury St, Concord, NH 03301, CPA Firm, 2008/12/28, Hours devoted to business during trading hours : 100-170, Hours devoted to business outside trading hours : 24, Percentage of total yearly compensation expected to be derived from the business : 60, This employee activity was allowed on 11/20/2018 by EMILY THERESE KEAGLE Alfred L Romano Jr - Trustee Services; Principal; Investment related; 86 Loverin Hill Rd Salisbury NH 03268; Perform Trustee Services in accordance with Trust Documents; 2018-10-01;Hours devoted to business during trading hours: 15 Hrs/month; devoted to business outside trading hours: 5 Hrs/month; Percentage of total yearly compensation expected to be derived from the business: 30; This employee activity was allowed-w-changes on 02/04/2019 by EMILY THERESE KEAGLE
CRS (Client Relationship Summary) - RIA
Click below to view Alfred Luigi Romano JR'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
July 18, 2018 - Present
FINANCIAL TRANSPARENCY
RIA
CRD#: 297713
Salisbury, NH
Past
July 9, 2018 - December 18, 2018
FINANCIAL TRANSPARENCY, LLC
RIA
CRD#: 291928
Concord, NH
Past
March 21, 2007 - August 7, 2018
CSSC BROKERAGE SERVICES, INC.
BD
CRD#: 141630
CONCORD, NH
Past
August 31, 2001 - March 21, 2007
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
NORTH ANDOVER, MA
Past
September 26, 1999 - September 4, 2018
TRUSTEE EMPOWERMENT & PROTECTION, INC.
RIA
CRD#: 108249
CONCORD, NH
Past
May 28, 1999 - August 31, 2001
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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".
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
Registered Investment Advisory firm - (7/13/2018 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
Massachusetts(7/24/2018)
IAR
New Hampshire(7/18/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
FT
FINANCIAL TRANSPARENCY
ARISTOTLE ADVISORS, LLC | PEARSON CONSULTANTS, INC. | OAK KNOLL CONSULTING SERVICES, LLC | MICHAEL MACDONALD FINANCIAL MANAGEMENT | JOSHUA TREE INVESTMENTS | GIARDINA & BRESETT CONSULTING SERVICES, INC. | GBK FINANCIAL SERVICES, LLC | FINANCIAL TRANSPARENCY | ENVISION FINANCIAL TRANSPARENCY, LLC | EAGLE CAPITAL GROUP, LLC | DOWNTOWN FINANCIAL MANAGEMENT, LLC | DONOHUE CONSULTING GROUP, INC. | CORNERSTONE ADVISORY CONSULTING, LLC | CONDLEY FINANCIAL SERVICES, INC. | CLEAR PERSPECTIVE ADVISORS, LLC | BLACKHEATH CAPITAL MANAGEMENT, LLC | BANKLER ADVISORY SERVICES, LLP
CRD#: 297713 / SEC#: 801-113605
RIA
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Contact information
Main Address
Greensboro, NC
Mailing Address
Phone number
(336) 715-3300
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 500 |
| AUM (Assets Under Management) | $ 306,343,419 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 11/27/2024 | ||
| 02/27/2024 | ||
| 04/28/2023 |
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.
