Claude Saunders Romano

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2010 → 03/2021
  H. Beck, Inc.
  Rockville, MD
• 01/2011 → 05/2025
  Lucas Insurance Advisory, Llc
  Gaithersburg, MD
• 12/2010 → 05/2025
  Romano Insurance And Financial Planning, Llc
  Gaithersburg, MD
• 04/2021 → 05/2025
  Grove Point Advisors, Llc
  Rockville, MD
• 04/2021 → 05/2025
  Grove Point Investments, Llc
  Rockville, MD
• 05/2025 → Present
  Lpl Financial Llc
  Palm Harbor, FL

Previous Registrations

• 2021-04-01 → 2025-05-02
  Grove Point Advisors, Llc
  Rockville, MD
  Gaithersburg, MD
  Rockville, MD
  Gaithersburg, MD
  Palm Harbor, FL
• 2010-12-01 → 2021-04-01
  Grove Point Investments, Llc
  Rockville, MD
  Gaithersburg, MD
  Gaithersburg, MD
  Palm Harbor, FL
• 1998-01-16 → 2010-11-30
  Pruco Securities, Llc.
  Hunt Valley, MD
  Bethesda, MD

Other Businesses

1. 05/2025- Romano Insurance and Financial Planning, LLC- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 02/06/2025- 15 Hours Per Month- 15 Hours During Trading 2. 05/2025- Romano Insurance and Financial Planning, LLC- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 12/29/2010- 160 Hours Per Month- 130 Hours During Trading 3. 05/2025- Warrior One Yoga- Business Owner- Not INV Related- At North Potomac, Md - Start date 11/11/2015

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-14
• S63 Uniform Securities Agent State Law Examination
  1997-03-24