Walter Romans, financial advisor Bethesda MD
83 score

Walter Romans

CRD Number: 1264383
Current Firm: Morgan Stanley

Walter Romans (CRD# 1264383) is an Investment Advisor Representative working at Morgan Stanley in Bethesda, MD and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 3
Morgan Stanley Smith Barney Bethesda, MD Jun 2009 - Current 8
Morgan Stanley & Company, Incorporated Bethesda, MD Apr 2007 - Current 11
#ia Dean Witter Reynolds Inc. Bethesda, MD Feb 1984 - Current 34
Olde Colony Real Estate Co Severna Park, MD Jun 1975 - Current 42
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1984
S65 NASAA Investment Advisors Law Examination Sep 1991
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Walter A. Romans
Phone Number: 914-225-5510
Registered State(s):
  • MD
  • TX
  • VA
By the Numbers
  • Total Assets Under Management
    598,503
    MILLIONS
  • Total Number of Accounts
    1,610,240
    ACCOUNTS
  • Average Account Value
    $371,685
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
83

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