Stanley D. Romaine, Jr.
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.
Stanley D. Romaine, Jr., who also goes by Stan Romaine, Stanley Daniel Romaine Jr, was a registered financial advisor .
Stanley is a previously registered financial advisor and started their career in finance in 1969. Stanley had worked at 6 firms and has passed the Series 63, Series 7 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 22, 1998 - August 30, 2007
ROMAINE FINANCIAL SERVICES CORP.
July 22, 1998 - December 13, 2012
COMMONWEALTH FINANCIAL NETWORK
February 21, 1991 - December 13, 2012
COMMONWEALTH FINANCIAL NETWORK
December 17, 1985 - January 24, 1991
NEW ENGLAND SECURITIES
January 25, 1972 - August 28, 1973
OSAIC FS, INC.
November 10, 1971 - November 15, 1982
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
March 7, 1969 - January 19, 1972
FINANCIAL PLANNERS, INC.
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 1
Date: 3/4/1969
Registered Representative ExaminationCurrent firm
No current employment
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.
