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Joseph G Romano

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Information

Other Names: Joseph G Romano III
Firm:
Additional Firm:
Type: Dual Registration
Description

Joseph Romano is a financial professional at Hightower Securities, LLC, a broker-dealer with 258 registered representatives nationwide. Joseph is also registered with Hightower Advisors, LLC, a $15B RIA based in Chicago, IL. Joseph has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Hightower Advisors, LLC 3 years, 5 months Apr 2011 - Present
Hightower Securities, LLC 3 years, 5 months Apr 2011 - Present
Bank of America, Na 1 year, 7 months Sep 2009 - Apr 2011
Merrill Lynch 12 years, 8 months Aug 1998 - Apr 2011
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 05/08/2000
General Securities Representative ExaminationSeries 7 03/27/2000

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Joseph G Romano has not answered any questions on Financial Q&A.

Top Guides

Joseph G Romano has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
05/07/2013
12/15/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Other: RETAINER OR SERVICE FEES OR SOME COMBINATION OF 1, 2, 4, 5 & 7