Stephen Rome

9 Years of Experience

1 DisclosureBroker

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Stephen Rome is a registered investment advisor, based in Dallas, TX, with 9 years of industry experience.

Location

Dallas, TX

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History

Regulatory History (1)

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Criminal

April 2007

Final Disposition

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Employment History

Current Registrations

Victory Capital Services, INC.Broker

July 2023 - Present · 2 yrs 9 mos

Victory Capital Services, INC.

July 2023 - Present · 2 yrs 9 mos

Westend Advisors, LLC

March 2022 - Present · 4 yrs 1 mo

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.