Charles J. Romano
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles J Romano, who also goes by Charles J Romano Jr, Charles John Romano, Charles J Romano, Charles Romano, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2018. Charles had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2025 - April 1, 2026
KESTRA ADVISORY SERVICES, LLC
April 22, 2025 - April 1, 2026
KESTRA INVESTMENT SERVICES, LLC
March 31, 2025 - April 11, 2025
STRATEGIC ADVISERS LLC
November 30, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 23, 2021 - April 11, 2025
FIDELITY BROKERAGE SERVICES LLC
May 18, 2021 - October 9, 2021
J.P. MORGAN SECURITIES LLC
May 18, 2021 - October 9, 2021
J.P. MORGAN SECURITIES LLC
June 6, 2018 - March 30, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 5, 2018 - March 30, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
