DR
David J. Romagosa
SUMMIT FINANCIAL WEALTH ADVISORS
Lafayette, LA 70503
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CRD#: 403303
DR
Professional summary
David Jerome Romagosa SR, AIF®, CFP®, who also goes by David Jerome Romagosa, is a registered financial advisor currently at SUMMIT FINANCIAL WEALTH ADVISORS located in Lafayette, Louisiana and PURSHE KAPLAN STERLING INVESTMENTS located in Lafayette, Louisiana.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. David has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, Series 7TO, SIE, Series 1, Series 26, Series 24 and Series 39 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Estate Planning
Employee and Employer Plan Ben...
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
David Jerome Romagosa
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. Summit Financial Wealth Advisors. Investment related. At registered location. RIA. Financial Advisor. Start date: 04/2025. 160 hrs/month; all during trading hours. Advising clients on account allocation and investment selection. 2. Fixed Insurance. Investment related. At registered location. Fixed Insurnace. Agent. Start date: 04/2025. 6 hrs/month; all during trading hours. Provide insurance advice based on the needs of client(s). 3. Cornerstone Financial Group, Inc. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Agent. Start date: 10/2009. 0 hrs/month. Established for previous DBA for Insurance Business/Annuities. No current activity except receiving trail revenue. 4. Cornerstone Benefits, Ltd. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 07/1980. 0 hrs/month. No current activity; kept open to continue receiving trail revenue. 5. University of Louisiana, Lafayette Foundation. Not investment related. 705 E St. Mary Blvd D, Lafayette, LA 70503. Board of Directors. Board member/Trustee. Start date: 10/2009. 5 hrs/month; during trading hours. Trustee/Board Member. 6. David J. Romagosa, CLU LTD. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 12/2009. 20 hrs/month; all during trading hours. Agent/Producer for Non-Variable Insurance: Life; Health, Disability; LTC; Fixed Annuities. 7. ASOGAMOR, LLC. Investment related. 213 N. College Road, Lafayette, LA 70506. Business entity. Owner. Start date: 07/2014. 0 hrs/month. Business entity for personal tax purposes; owner of checking account/ makes money movement and investment decisions. 8. Cornerstone Settlements, Inc. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 11/2009. 0 hrs/month. Non-Variable Insurance: Fixed Annuities ( No current activity) This is only left open to continue receiving trail revenue; owner on checking account.
CRS (Client Relationship Summary) - RIA
Click below to view David Jerome Romagosa SR'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®
CFP®
Start date: 2002
Experience
Current
April 28, 2025 - Present
SUMMIT FINANCIAL WEALTH ADVISORS
Office #1: 1021 E. St. Mary Blvd., Lafayette, LA 70503RIA
CRD#: 171278
Lafayette, LA
Current
July 2, 2025 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1021 E St Mary Blvd, Lafayette, LA 70503BD
CRD#: 35747
Lafayette, LA
Past
September 17, 2010 - May 2, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAFAYETTE, LA
Past
September 8, 2009 - May 2, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
LAFAYETTE, LA
Past
June 6, 1989 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
LAFAYETTE, LA
Past
February 18, 1986 - June 6, 1989
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
Past
December 10, 1984 - December 26, 1985
FIRST LOUISIANA CORPORATION
BD
CRD#: 15042
Past
June 7, 1983 - February 22, 1984
EQUITY PARTNERS, INC.
BD
CRD#: 10434
Past
October 23, 1981 - April 26, 1982
SOURCE INVESTMENTS, INC.
BD
CRD#: 8459
Past
June 3, 1975 - September 21, 1984
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
March 1, 1973 - September 15, 1981
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Past
March 1, 1973 - February 2, 1982
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
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".
SF
SUMMIT FINANCIAL WEALTH ADVISORS
SUMMIT FINANCIAL WEALTH ADVISORS | SUMMIT FINANCIAL WEALTH ADVISORS, LLC
CRD#: 171278 / SEC#: 801-79686
RIA
Registered Investment Advisory firm - (5/21/2014 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.RR
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
IAR
Louisiana(5/12/2025)
RR
Louisiana(7/2/2025)
IAR
Texas(4/28/2025)
RR
Texas(7/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/2/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 7/2/2025
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/21/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SUMMIT FINANCIAL WEALTH ADVISORS
SUMMIT FINANCIAL WEALTH ADVISORS | SUMMIT FINANCIAL WEALTH ADVISORS, LLC
CRD#: 171278 / SEC#: 801-79686
RIA
Registered Investment Advisory firm - (5/21/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1021 E. St. Mary Blvd., Lafayette, LA 70503
Mailing Address
P O Box 53007, Lafayette, LA 70505
Phone number
(337) 232-1141
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,620 |
| AUM (Assets Under Management) | $ 1,421,450,420 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SUMMIT FINANCIAL WEALTH ADVISORS
CRD#: 171278Lafayette, LA 70503TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
