Richard F. Romain
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.
Richard Francis Romain was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 6 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2015 - August 1, 2024
CORECAP INVESTMENTS, LLC
June 30, 2006 - July 22, 2015
AMERITAS INVESTMENT COMPANY, LLC
April 24, 1985 - June 30, 2006
CARILLON INVESTMENTS, INC.
April 14, 1978 - December 16, 1987
MUTUAL SERVICE CORPORATION
May 21, 1976 - January 2, 1977
PW SECURITIES, INC.
November 21, 1973 - February 24, 1975
METROPOLITAN LIFE INSURANCE COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/16/1973
Registered Representative ExaminationCurrent Firm
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
