Richard Timothy Romano

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

• INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

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

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

Current Employers

Employment History

• 03/1987 → Present
  Northwestern Mutual Life
  Milwaukee, WI
• 03/1987 → Present
  Nml
  Metairie, LA
• 07/1987 → Present
  Odyssey House
  New Orleans, LA
• 03/1988 → Present
  Rp Nml Equity
  Metairie, LA
• 01/1989 → Present
  Northwestern Mutual Investment Services, Llc
  Milwaukee, WI

Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. SPEAKER, ST. LOUIS, MO, INVESTMENT RELATED, INSURANCE SALES SEMINAR FOR FINANCIAL REPRESENTATIVES, 3/26/2010. 100% OWNER, DALTON DRIVE PROPERTIES, LLC, 4 DALTON DR, SANTA ROSA BEACH, , FLORIDA, 32459, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 06/02/2022, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, PURCHASING A LOT WITH PLANS TO BUILD A RENTAL HOME ON THE PROPERTY IN 2023 POSSIBLY.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-30
• S63 Uniform Securities Agent State Law Examination
  2001-05-31

Other Names

• Rick Romano