ROMANO BROTHERS AND COMPANY of EVANSTON, IL is an SEC-registered investment adviser (CRD 3215). Regulatory assets under management: $1.5B.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Richard Constantino Romano | CHAIRMAN | — |
| Joseph Richardviktory Romano | PRESIDENT | — |
| Douglas Norman Geisser | VICE PRESIDENT | — |
| Eric Arthur Bederman | CFO/CCO | — |
| REILLY WILLIAM JAMES | CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | — |
| MAREK MICHAEL JAMES | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| BEDERMAN ERIC ARTHUR | CFO/CCO | — |
| ROMANO RICHARD CONSTANTIN | CHAIRMAN; PRESIDENT & CEO | — |
| ROMANO JOSEPH RICHARDVIKTORY | PRESIDENT; PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | — |
| GEISSER DOUGLAS NORMAN | VICE PRESIDENT | — |
| VALLONE ROBERT ALAN | CCO & COO; CHIEF OPERATING OFFICER | — |
| ROMANO WILLIAM RICHARD | VICE PRESIDENT & SROP/CROP | — |
| ROMANO RICHARD CONSTANTINO | CHAIRMAN | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-10 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT ROMANO BROTHERS & CO. ("ROMANO") VIOLATED SECTION 206(4) AND 206(4)-1(A)(1) OF THE ADVISERS ACT BY CREATING VIDEOS CONTAINING CLIENT TESTIMONIALS AND POSTING THEM TO ROMANO'S WEBSITE AND YOUTUBE.COM | Final | $15K |