PH
Peter Hemwall
ROMANO BROTHERS AND COMPANY
Evanston, IL 60201
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CRD#: 5972002
PH
Professional summary
Peter Hemwall, CFP® is a registered financial advisor currently at ROMANO BROTHERS AND COMPANY located in Evanston, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Peter has worked at 2 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.
Peter Hemwall will be teaching an Investment Fundamentals course at New Trier Extension, the community education program of New Trier Township High School. Time spend on the class and preparation will be outside of market and business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Hemwall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Hemwall's 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®
CFP®
Start date: 2015
Experience
Current
September 24, 2014 - Present
ROMANO BROTHERS AND COMPANY
Office #1: 1560 Sherman Avenue Ste 1300, Evanston, IL 60201Office #2: 1560 Sherman Avenue Ste 1300, Evanston, IL 60201RIA
BD
CRD#: 3215
Evanston, IL
Current
September 24, 2014 - Present
ROMANO BROTHERS AND COMPANY
Office #1: 1560 Sherman Avenue Suite 1300, Evanston, IL 60201Office #2: 1560 Sherman Avenue Ste 1300, Evanston, IL 60201RIA
BD
CRD#: 3215
Evanston, IL
Past
November 2, 2011 - September 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BUFFALO GROVE, IL
Past
October 6, 2011 - September 23, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BUFFALO GROVE, IL
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 & 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(2/5/2021)
RR
California(2/15/2017)
IAR
California(8/12/2019)
RR
Colorado(5/9/2024)
IAR
Colorado(5/9/2024)
RR
Connecticut(1/30/2019)
RR
District of Columbia(1/3/2020)
RR
Florida(8/14/2019)
IAR
Florida(3/19/2020)
RR
Georgia(8/2/2022)
RR
Illinois(9/24/2014)
IAR
Illinois(9/24/2014)
RR
Indiana(4/1/2022)
IAR
Indiana(4/1/2022)
RR
Iowa(5/31/2023)
IAR
Iowa(6/8/2023)
RR
Kentucky(6/12/2018)
RR
Maryland(8/25/2021)
RR
Massachusetts(8/8/2019)
RR
Michigan(10/16/2023)
IAR
Michigan(10/19/2023)
RR
Minnesota(7/24/2019)
IAR
Minnesota(8/8/2019)
RR
Missouri(4/27/2018)
RR
New Hampshire(9/1/2021)
RR
New Jersey(11/7/2019)
RR
New Mexico(5/14/2024)
RR
New York(10/3/2019)
RR
North Carolina(2/8/2017)
IAR
North Carolina(4/11/2019)
RR
Ohio(9/22/2019)
IAR
Ohio(4/26/2023)
RR
Oregon(7/20/2018)
IAR
Oregon(10/31/2019)
RR
Rhode Island(8/15/2018)
RR
South Carolina(1/13/2020)
IAR
South Carolina(1/15/2020)
RR
Tennessee(8/12/2025)
RR
Texas(1/24/2018)
IAR
Texas(10/24/2018)
RR
Utah(8/4/2020)
IAR
Utah(2/15/2023)
RR
Virginia(3/28/2017)
IAR
Virginia(6/28/2018)
RR
Washington(9/1/2020)
RR
Wisconsin(11/16/2017)
IAR
Wisconsin(1/17/2019)
RR
Wyoming(3/4/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
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)
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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)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 1,388,470,813 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/31/2023 |
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.
