Stephen Rome is a registered investment advisor, based in Dallas, TX, with 9 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Dallas, TX
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Regulatory History (1)
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Criminal
April 2007Final Disposition
Employment History
Current Registrations
Victory Capital Services, INC.Broker
July 2023 - Present · 3 yrs 3 mos
Victory Capital Services, INC.
July 2023 - Present · 3 yrs 3 mos
Westend Advisors, LLC
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
Westend Advisors, LLC
April 2018 - February 2022 · 3 yrs 10 mos
Dfa Securities LLCBroker
September 2016 - January 2018 · 1 yr 4 mos
State Registrations52 states
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AdvisorBrokerBoth
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
No exam information available for this advisor.
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