Gail Testa-Romano
Gail Testa-Romano is a registered investment advisor at Ameriprise Financial Services, LLC, based in East Amherst, NY, with 33 years of industry experience. Gail operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,330,280 clients with $560B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ameriprise Financial Services offers several managed account programs. The fees vary depending on the program selected. These fees include an asset-based fee, which covers investment advisory services and investment management fees. Some accounts may also have an Investments and Infrastructure Support Fee. Clients also pay investment costs, which are the underlying fees related to investment products purchased within the managed account. Additional fees and expenses may be incurred based on the nature of the investments.
Location
East Amherst, NY
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Gail is an investment advisor representative (IAR) and a trustee for a trust. She is also an agent with Northcoast Brokerage/Capitas Financial, selling life insurance, LTC, and fixed annuities, spending about half her time on this, and a VP Wealth Advisor at Bank on Buffalo, spending about a quarter of her time.
Employment History
Current Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Securities America Advisors, INC.
Securities America, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
John Hancock Distributors LLCBroker
M&t Securities, INC.Broker
Liberty Securities CorporationBroker
Cigna Securities, INC.Broker
State Registrations2 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.