Richard Constantino Romano
Professional Summary
Richard Constantino Romano, who also goes by Richard Constantin Romano, is a registered financial advisor currently at ROMANO BROTHERS AND COMPANY located in Bonita Springs, Florida. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1963. Richard has worked at 1 firm and has passed the Series 66, Series 99TO, Series 7TO, Series 57TO, SIE, Series 55, Series 24, Series 27 and Series 00...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Constantin Romano
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
63 years in the financial services industry
Current & Past Employments
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Current Firm
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY
Contact Information
Main Address
1560 Sherman Avenue Ste 1300, Evanston, IL 60201Mailing Address
1560 Sherman Avenue Suite 1300, Evanston, IL 60201Phone Number
(847) 866-7700Established
Illinois since 08/01/1963Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
16SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
FINRA licenses (39 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,078AUM (Assets Under Management)
$1,539,768,041Disclosures
Regulatory Event
1Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2026 | Cover Page | Report |
| 01/23/2026 | Cover Page | Report |
| 10/25/2024 | Cover Page | Report |
| 07/31/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY
State Registrations and Notice Filings
(1/10/2019)
(1/10/2019)
(5/9/2024)
(6/24/1994)
(3/22/2022)
(12/11/2018)
(1/10/2019)
(5/18/2023)
(7/11/1994)
(11/21/2019)
(12/4/2018)
(7/5/2023)
(8/2/1977)
(6/25/1998)
(6/26/2018)
(5/13/2024)
(2/10/2004)
(5/2/2023)
(1/10/2019)
(9/18/2023)
(8/6/2018)
(9/6/2019)
(10/18/2024)
(11/6/2025)
(1/10/2019)
(8/25/2023)
(7/27/2018)
(5/9/2023)
(9/20/2019)
(10/7/2019)
(1/10/2019)
(10/16/2019)
(4/24/2018)
(1/9/2020)
(1/10/2020)
(4/6/2017)
(1/10/2025)
(9/26/2025)
(6/30/1994)
(1/17/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Oct 1998Series 00 — General Securities Principal Examination
Passed Nov 1963SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Constantino Romano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Constantino Romano's CRS (Customer Relationship Summary).
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