Andrew Rome

Current Employers

Seia

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2025-01-01

OR RA
APPROVED

Since 2025-01-01

Branch Locations

Chicago, IL • United States

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Jhfn Sii	Beaverton	OR	06/2011	11/2018
Seia Llc	Chicago	IL	04/2014	Present
Royal Alliance Associates, Inc.	Beaverton	OR	11/2018	08/2023
Ses Inc.	Chicago	IL	08/2023	Present

06/2011 → 11/2018

Jhfn Sii

Beaverton, OR
04/2014 → Present

Seia Llc

Chicago, IL
11/2018 → 08/2023

Royal Alliance Associates, Inc.

Beaverton, OR
08/2023 → Present

Ses Inc.

Chicago, IL

Previous Registrations

2012-02-07 → 2014-04-07

Signator Investors, Inc.

Vienna, VA

Tysons Corner, VA

Other Businesses

1. SEIA POSITION: Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 04/07/2014 ADDRESS: 875 North Michigan, Suite 3100, Chicago, IL 60611, United States DESCRIPTION: Advisor for Leonard Hirsh. I help support his team. 2. INSURANCE LICENSE - PRODUCER POSITION: Insurance License Holder NATURE: Insurance sales & service. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 04/07/2014 ADDRESS: 875 North Michigan, Suite 3100, Chicago, IL 60611, USA DESCRIPTION: Insurance sales and service consistent with financial planning. 3. TAPS POSITION: Resource Contact, NATURE: General financial education. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/20/2009 ADDRESS: 3033 Wilson Bl., 3rd Floor, Arlington, VA 22201, USA DESCRIPTION: TAPS is a military oriented non-profit organization, non-affiliated with SEIA. Mr. Rome is listed as a resource for ad hoc financial advice with this organization. 4. ANDREW WILLIAM ROME FINANCE LLC POSITION: Owner, NATURE: LLC, INVESTMENT RELATED: No, NUMBER OF HOURS: 1, SECURITIES TRADING HOURS: 0, START DATE: 05/22/2026 ADDRESS: 435 North Michigan Avenue, Chicago, Illinois, 60611, United States DESCRIPTION: LLC for tax saving purposes

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-09-16

S66 Uniform Combined State Law Examination

2011-09-16

View on SEC IAPD