Richard Romano
Richard Romano is a registered investment advisor at Stifel Independent Advisors, LLC, based in Salt Lake City, UT, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 7,902 clients with $5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stifel Independent Advisors offers investment management through various programs. Fees are generally based on a percentage of assets, but can be a fixed dollar amount. The Stifel Vantage Program charges transaction-based commissions. The Stifel Summit Program charges up to 1.00% of the total value of investments under management. Fees are negotiable.
Location
1240 East 2100 South, Suite 400, Salt Lake City, UT, 84106
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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 Activities
Richard is a board member of Teton Valley Community Resource Center, dedicating a few hours per week. He also co-owns and manages RCR Advisors and ARC Wealth Management LLC, spending full-time hours on these investment-related activities. Finally, Richard is a trustee for ARC Wealth Management 401K LLC PSP, spending minimal time on this activity.
Employment History
Current Registrations
Stifel Independent Advisors, LLCBroker
Stifel Independent Advisors, LLC
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Painewebber IncorporatedBroker
State Registrations20 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.