Harry Romain
Harry Romain is a registered investment advisor at Commonwealth Financial Network, based in Cranston, RI, with 39 years of industry experience. Harry is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $750K | 2.25% |
| $750K - $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2M+ | 1.50% |
Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.
Fee Estimator
Location
1150 New London Avenue, Cranston, RI, 02920-3036
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2002Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Sunpoint Securities, INC.Broker
Mimlic Sales CorporationBroker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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