Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DOUGLAS NORMAN GEISSER
DOUGLAS N GEISSER
CRD#: 1137506
IA
Investment Adviser
B
Broker
ROMANO WEALTH MANAGEMENTCRD#: 3215 Naples, FL
Registration History
198519901995200020052010201520202025IAROMANO WEALTH MANAGEMENT (CRD# 3215)1998 - Present (26 years)BROMANO BROTHERS AND COMPANY (CRD# 3215)1990 - Present (34 years)BCOLUMBIAN SECURITIES, INC. (CRD# 1499)1983 - 1990 (6 years)
License(s)

State Registrations

B
Alabama 7/9/2018
IA
Illinois 6/25/1998
B
Arizona 2/12/2018
B
Indiana 4/20/2012
IA
Arizona 1/29/2019
IA
Indiana 10/19/2018
B
California 4/29/2005
B
Kentucky 6/18/2018
IA
California 9/27/2018
B
Massachusetts 2/28/2008
B
Colorado 4/20/2012
B
New Mexico 2/12/2018
IA
Colorado 10/12/2018
B
Oregon 3/10/2017
B
Connecticut 10/28/2024
IA
Oregon 11/8/2019
B
District of Columbia 6/7/2017
B
Rhode Island 11/1/2017
IA
District of Columbia 4/19/2023
B
Texas 4/20/2012
B
Florida 4/20/2012
IA
Texas 1/21/2021
IA
Florida 2/20/2019
B
Washington 4/29/2005
B
Georgia 6/19/2018
B
Wisconsin 4/20/2012
B
Illinois 5/2/1990
IA
Wisconsin 1/17/2019

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROMANO WEALTH MANAGEMENT (CRD#:3215)
Naples, FL
Registered with this firm since 6/25/1998
B
ROMANO BROTHERS AND COMPANY (CRD#:3215)
Naples, FL
Registered with this firm since 5/2/1990
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/12/1983 - 05/04/1990 COLUMBIAN SECURITIES, INC. (CRD#:1499)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.