SR
Stephen H. Rome
WESTEND ADVISORS
Dallas, TX
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CRD#: 6633957
SR
Professional summary
Stephen Hunter Rome, who also goes by Hunter Rome, is a registered financial advisor currently at WESTEND ADVISORS, LLC located in Dallas, Texas and VICTORY CAPITAL SERVICES, INC. located in Charlotte, North Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hunter Rome
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Hunter Rome'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®
NoneExperience
Current
March 2, 2022 - Present
WESTEND ADVISORS, LLC
RIA
CRD#: 133279
Dallas, TX
Current
July 21, 2023 - Present
VICTORY CAPITAL SERVICES, INC.
Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203BD
CRD#: 37059
Charlotte, NC
Past
April 10, 2018 - February 1, 2022
WESTEND ADVISORS, LLC
RIA
CRD#: 133279
CHARLOTTE, NC
Past
September 29, 2016 - January 10, 2018
DFA SECURITIES LLC
BD
CRD#: 10292
CHARLOTTE, NC
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".
WA
WESTEND ADVISORS, LLC
SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC
CRD#: 133279 / SEC#: 801-63626
RIA
Registered Investment Advisory firm - (3/18/2005 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.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(8/3/2023)
RR
Alaska(8/11/2023)
RR
Arizona(8/16/2023)
RR
Arkansas(8/4/2023)
RR
California(8/2/2023)
RR
Colorado(8/2/2023)
RR
Connecticut(8/2/2023)
RR
Delaware(8/3/2023)
RR
District of Columbia(8/4/2023)
RR
Florida(8/2/2023)
RR
Georgia(8/3/2023)
RR
Hawaii(8/9/2023)
RR
Idaho(8/2/2023)
RR
Illinois(8/8/2023)
RR
Indiana(8/4/2023)
RR
Iowa(8/4/2023)
RR
Kansas(8/1/2023)
RR
Kentucky(8/4/2023)
RR
Louisiana(8/4/2023)
RR
Maine(8/2/2023)
RR
Maryland(8/4/2023)
RR
Massachusetts(8/1/2023)
RR
Michigan(8/3/2023)
RR
Minnesota(8/2/2023)
RR
Mississippi(8/2/2023)
RR
Missouri(8/2/2023)
RR
Montana(8/2/2023)
RR
Nebraska(8/7/2023)
RR
Nevada(8/7/2023)
RR
New Hampshire(8/4/2023)
RR
New Jersey(8/2/2023)
RR
New Mexico(8/2/2023)
RR
New York(8/2/2023)
IAR
North Carolina(3/2/2022)
RR
North Carolina(8/3/2023)
RR
North Dakota(8/7/2023)
RR
Ohio(8/1/2023)
RR
Oklahoma(8/3/2023)
RR
Oregon(8/3/2023)
RR
Pennsylvania(8/2/2023)
RR
Puerto Rico(8/4/2023)
RR
Rhode Island(8/3/2023)
RR
South Carolina(8/3/2023)
RR
South Dakota(8/7/2023)
RR
Tennessee(8/4/2023)
IAR
Texas(3/2/2022)
RR
Texas(8/2/2023)
RR
Utah(8/2/2023)
RR
Vermont(8/3/2023)
RR
Virginia(8/2/2023)
RR
Washington(8/2/2023)
RR
West Virginia(8/3/2023)
RR
Wisconsin(8/3/2023)
RR
Wyoming(8/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WESTEND ADVISORS, LLC
SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC
CRD#: 133279 / SEC#: 801-63626
RIA
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Contact information
Main Address
1001 Morehead Square Drive Suite 600, Charlotte, NC 28203
Mailing Address
Phone number
(704) 556-9300
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,002 |
| AUM (Assets Under Management) | $ 1,699,961,169 |
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.
