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Richard Romero

Td Private Client Wealth LLC

Vienna, VA

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Current Employers
Td Private Client Wealth Llc

1 Vanderbilt Avenue 23Rd Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-02-05
NJ RA APPROVED 2026-02-05
DE RA APPROVED 2026-02-04
MD RA APPROVED 2026-02-04
NY RA APPROVED 2026-02-04
PA RA APPROVED 2026-02-04
VA RA APPROVED 2026-01-28
  • FL RA
    APPROVED
    Since 2026-02-05
  • NJ RA
    APPROVED
    Since 2026-02-05
  • DE RA
    APPROVED
    Since 2026-02-04
  • MD RA
    APPROVED
    Since 2026-02-04
  • NY RA
    APPROVED
    Since 2026-02-04
  • PA RA
    APPROVED
    Since 2026-02-04
  • VA RA
    APPROVED
    Since 2026-01-28

Branch Locations

1919 Gallows Road 2Nd Floor, Vienna, VA 22182 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuso Financial Services, Lp San Diego CA 03/2016 07/2018
Pruco Securities, Llc Vienna VA 07/2018 01/2020
The Prudential Insurance Company Of America Vienna VA 07/2018 01/2020
Ameriprise Financial Services, Llc Lake Ridge VA 01/2020 01/2023
The Prudential Insurance Company Of America Vienna VA 01/2023 03/2024
Pruco Securities, Llc Vienna VA 01/2023 03/2024
Q3 Advisors, Llc Marble Falls TX 03/2024 11/2025
Td Private Client Wealth Llc Vienna VA 01/2026 Present
Td Bank N.A. Vienna VA 01/2026 Present
Previous Registrations
  • 2024-03-13 → 2025-12-01
    Q3 Advisors, Llc
    Herndon, VA
  • 2023-01-25 → 2024-03-19
    Pruco Securities, Llc.
    North Bethesda, MD
    Vienna, VA
  • 2020-02-25 → 2023-01-20
    Ameriprise Financial Services, Llc
    Vienna, VA
    Lake Ridge, VA
    Manassas, VA
  • 2018-08-30 → 2020-01-08
    Pruco Securities, Llc.
    North Bethesda, MD
    Vienna, VA
  • 2016-03-29 → 2018-07-09
    Cuso Financial Services, L.P.
    Tysons, VA
    Washington, DC
  • 2014-08-11 → 2016-04-22
    Hsbc Securities (Usa) Inc.
    Washington, DC
  • 2012-06-11 → 2013-07-02
    Xml Securities
    Fairfax, VA
  • 2010-08-02 → 2012-06-05
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Falls Church, VA
    Washington, DC
  • 2007-07-05 → 2007-09-07
    Bb&T Investment Services, Inc.
    Charlotte, NC
    Falls Church, VA
  • 2004-10-18 → 2005-07-06
    Truist Investment Services, Inc.
    Washington, DC
  • 2003-01-23 → 2003-09-29
    Osaic Fa, Inc.
    Vienna, VA
  • 2002-06-18 → 2002-10-08
    Joyn Advisors, Inc.
    Rockville, MD
  • 2002-06-18 → 2002-10-08
    Gv Financial Advisors, Inc.
    Rockville, MD
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-11-03
S65 Uniform Investment Adviser Law Examination 1994-11-14
  • S63 Uniform Securities Agent State Law Examination
    2010-11-03
  • S65 Uniform Investment Adviser Law Examination
    1994-11-14
Designations
Other Names
  • Richard Ronald Romero

View on SEC IAPD

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Other Offices

OSAIC WEALTH, INC. · VIENNA, VA
CAPITOL PRIVATE WEALTH GROUP LLC · VIENNA, VA
AMERIPRISE FINANCIAL SERVICES, LLC · VIENNA, VA
PNC WEALTH MANAGEMENT LLC · VIENNA, VA
RETIREMENT RESEARCHER, LLC · TYSONS, VA
MCLEAN ASSET MANAGEMENT CORP. · TYSONS, VA
KIRK CAPITAL ADVISORS LLC · VIENNA, VA
ATEGRA CAPITAL MANAGEMENT, LLC · VIENNA, VA

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