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STEPHEN JOSEPH ROMANO
CRD#: 1496533
IA
B
MORGAN STANLEYCRD#: 149777 Hailey, ID
0
Disclosures
21
Years of Experience
View By:
State Registrations
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Alabama 7/3/2023
B
Nebraska 7/3/2023
B
Alaska 7/3/2023
B
Nevada 7/3/2023
B
Arizona 7/3/2023
B
New Hampshire 7/3/2023
B
Arkansas 7/3/2023
B
New Jersey 7/3/2023
B
California 3/12/2021
B
New Mexico 7/3/2023
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California 8/9/2021
B
New York 12/21/2020
B
Colorado 2/22/2022
B
North Carolina 7/3/2023
B
Connecticut 7/3/2023
B
North Dakota 7/3/2023
B
Delaware 7/18/2022
B
Ohio 7/5/2023
B
District of Columbia 6/23/2021
B
Oklahoma 7/3/2023
B
Florida 6/29/2022
B
Oregon 5/2/2018
B
Georgia 10/22/2021
B
Pennsylvania 7/3/2023
B
Hawaii 7/3/2023
B
Puerto Rico 7/3/2023
B
Idaho 5/2/2018
B
Rhode Island 7/3/2023
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Idaho 10/20/2020
B
South Carolina 7/3/2023
B
Illinois 7/3/2023
B
South Dakota 7/3/2023
B
Indiana 7/3/2023
B
Tennessee 7/3/2023
B
Iowa 7/3/2023
B
Texas 7/18/2022
B
Kansas 7/3/2023
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Texas 7/21/2022
B
Kentucky 7/3/2023
B
Utah 3/14/2022
B
Louisiana 7/3/2023
B
Vermont 7/3/2023
B
Maine 7/3/2023
B
Virgin Islands 7/3/2023
B
Maryland 7/3/2023
B
Virginia 7/3/2023
B
Massachusetts 7/3/2023
B
Washington 5/2/2018
B
Michigan 7/3/2023
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Washington 5/15/2018
B
Minnesota 7/3/2023
B
West Virginia 7/3/2023
B
Mississippi 7/3/2023
B
Wisconsin 7/3/2023
B
Missouri 5/30/2023
B
Wyoming 7/3/2023
B
Montana 7/3/2023
SRO Registrations
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B
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B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 5/15/2018
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Registered with this firm since 5/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/10/2008 - 05/01/2018 | SEATTLE, WA | |
IA | 05/29/2007 - 10/21/2008 | SEATTLE, WA | |
B | 05/29/2007 - 10/21/2008 | SEATTLE, WA | |
IA | 04/02/2007 - 05/29/2007 | SEATTLE, WA | |
B | 03/27/2007 - 05/29/2007 | SEATTLE, WA | |
B | 12/23/1987 - 06/01/1990 | ||
B | 05/21/1986 - 11/10/1987 |
For additional information about investment advisers or broker-dealers, please visit
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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.