AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
OH

Omar Haq

ROMANO BROTHERS AND COMPANY
Evanston, IL 60201
Some features on this profile are disabled
CRD#: 4859802
OH

Professional summary

Omar Haq is a registered financial professional currently at ROMANO BROTHERS AND COMPANY located in Evanston, Illinois.

Omar is registered as a RR (Registered Representative) and started their career in finance in 2004. Omar has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Omar Haq'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

July 15, 2015 - Present

ROMANO BROTHERS AND COMPANY

Office #1: 1560 Sherman Avenue Suite 1300, Evanston, IL 60201Office #2: 1560 Sherman Avenue Ste 1300, Evanston, IL 60201
RIA
BD
CRD#: 3215
Evanston, IL
Past

March 18, 2014 - July 3, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

October 1, 2012 - January 23, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

September 18, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 22, 2005 - December 19, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

November 15, 2004 - August 1, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA

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".
ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA
Registered Investment Advisory firm - SEC (5/23/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
Illinois
(7/16/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 12/31/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS AND COMPANY
ROMANO BROTHERS & CO. | ROMANO WEALTH MANAGEMENT | ROMANO BROTHERS AND COMPANY

CRD#: 3215 / SEC#: 801-27061, 8-14213

RIA
Registered Investment Advisory firm - SEC (5/23/1986 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1560 Sherman Avenue Ste 1300, Evanston, IL 60201
Mailing Address
1560 Sherman Avenue Suite 1300, Evanston, IL 60201
Phone number
(847) 866-7700
Established
Illinois since 08/01/1963
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
16

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 PLUS BROCHURE SUPPLEMENT (1/31/2025)
WRAP PROGRAM BROCHURE (1/31/2025)

Direct owners and executive officers

NamePositionCRD#
ROMANO, JOSEPH RICHARDVIKTORYPRESIDENT2659164
ROMANO, RICHARD CONSTANTINOCHAIRMAN403390
BEDERMAN, ERIC ARTHURCFO/CCO2074318
GEISSER, DOUGLAS NORMANVICE PRESIDENT1137506

Regulatory assets under management

Total Number of Accounts2,015
AUM (Assets Under Management)$ 1,388,470,813

Disclosures

Regulatory Event1
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/25/2024
Cover Page
Report
07/31/2023
Cover Page
Report

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.

Company Information

ROMANO BROTHERS AND COMPANY

ROMANO BROTHERS AND COMPANY

CRD#: 3215Evanston, IL 60201

TRUST BUT VERIFY

Monitor Omar Haq

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics