Robert Romeo, financial advisor Amherst NY
96 score

Robert Romeo

CRD Number: 1135429
Current Firm: Advice And Planning Services

Robert Romeo (CRD# 1135429) is an Investment Advisor Representative working at Advice And Planning Services in Amherst, NY and has over 24 years of experience in the finance industry. Robert Romeo has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Tiaa Amherst, NY Jun 2014 - Current 2
Tiaa-cref Individual & Institutional Services, Llc (20472) Amherst, NY Jun 2014 - Current 2
Niagara University Lewiston, NY Sep 2013 - Current 3
Cetera Investment Services LLC St.cloud, MN Dec 2013 - Mar 2014 < 1
Obs Brokerage Services Inc. Warren, PA Sep 2012 - Dec 2013 1
Obs Brokerage Services Inc. Warren, PA Sep 2012 - Dec 2013 1
Lpl Financial Charlotte, NC Jun 2010 - Sep 2012 2
Uvest Investment Services Lockport, NY Dec 2005 - Jun 2010 4
First Niagara Bank East Amherst, NY Dec 2005 - Jun 2010 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1992
S65 NASAA Investment Advisors Law Examination Oct 2004
Contact Info for Robert W. Romeo
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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