Mitchell A. Romano

ROSE CAPITAL ADVISORS

MIAMI BEACH, FL 33139

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CRD#: 4831446

Professional summary

Mitchell Allan Romano is a registered financial advisor currently at ROSE CAPITAL ADVISORS, LLC located in Miami Beach, Florida and SAXONY SECURITIES, INC. located in Miami Beach, Florida.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mitchell has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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)ROSE CAPITAL ADVISORS (OBA); INVESTMENT RELATED, 119 WASHINGTON AVENUE SUITE 400, MIAMI BEACH, FL 331139, INVESTMENT ADVISORY BUSINESS; BEGAN 8/29/2014; 160 HRS/MO, DURING MARKET HOURS; DIRECTOR OF OPERATIONS FOR RIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Allan Romano's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 25, 2016 - Present

ROSE CAPITAL ADVISORS, LLC

Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139

RIA

CRD#: 173054

MIAMI BEACH, FL

Current

March 17, 2015 - Present

SAXONY SECURITIES, INC.

Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139

CRD#: 115547

MIAMI BEACH, FL

Past

June 25, 2008 - September 15, 2014

DOMINICK & DICKERMAN LLC

RIA

CRD#: 7344

MIAMI, FL

Past

December 8, 2006 - September 15, 2014

DOMINICK & DICKERMAN LLC

CRD#: 7344

MIAMI, FL

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".

ROSE CAPITAL ADVISORS, LLC

ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS

CRD#: 173054 / SEC#: 801-80385

RIA

Registered Investment Advisory firm - (10/1/2014 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.

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

Florida
(5/14/2015)

IAR

Florida
(1/25/2016)

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

State Security Law Exam

IAR

Series 66

Date: 11/3/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ROSE CAPITAL ADVISORS, LLC

ROSE CAPITAL ADVISORS, LLC | WEALTH CAPITAL PARTNERS | TANDRAGEE GLOBAL ADVISORS | SULZBERGER CAPITAL ADVISORS

CRD#: 173054 / SEC#: 801-80385

RIA

Registered Investment Advisory firm - (10/1/2014 Approved)

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Contact information

Main Address

119 Washington Avenue Suite 400, Miami Beach, FL 33139

Mailing Address

Phone number

(305) 534-7673

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROSE FORM ADV PART 2 WRAP FEE BROCHURE (7/25/2025)

ROSE FORM ADV 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	911
AUM (Assets Under Management)	$ 663,626,570

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.

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Advisor Monitoring

Firm Stability Insights

Mitchell A. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Allan Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAXONY SECURITIES, INC.

DOMINICK & DICKERMAN LLC

DOMINICK & DICKERMAN LLC

Primary Firm SEC Registration

ROSE CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/6/2006

FINRA

Current Firm

ROSE CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROSE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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