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Joseph Anthony Romano

Commonwealth Financial Network

North Wales, PA

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
PA RA APPROVED 2010-06-15
  • TX RA
    APPROVED
    Since 2026-03-23
  • PA RA
    APPROVED
    Since 2010-06-15

Branch Locations

1120 Welsh Road Suite 180, North Wales, PA 19454 • 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
Commonwealth Financial Network Waltham MA 12/2003 Present
Previous Registrations
  • 2003-01-06 → 2004-01-02
    The Marshall Financial Group, Inc
    Doylestown, PA
Other Businesses

FIXED INSURANCE - INVESTMENT RELATED - CONDUCTED AT BRANCH OFFICE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-27
S63 Uniform Securities Agent State Law Examination 1997-01-13
  • S65 Uniform Investment Adviser Law Examination
    1999-10-27
  • S63 Uniform Securities Agent State Law Examination
    1997-01-13
Designations
Other Names
  • Joseph A Romano
  • Joe Romano

View on SEC IAPD

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DILLON CAPITAL MANAGEMENT
CETERA INVESTMENT ADVISERS LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

DAPHNE C HU
PATRICIA A ANGELOZZI
STEVEN JOHN KRZYWICKI
JOHN DAVID JIM
PETER J KEENAN
JAMES F SCHMIDT
Caitlin Victoria Sigler Escoffery
HO-TAE CHANG

Other Offices

UNITED CAPITAL FINANCIAL ADVISORS · NORTH WALES, PA
BEACON BRIDGE WEALTH PARTNERS, LLC · LOWER GWYNEDD, PA
BCG SECURITIES, INC. · LOWER GWYNEDD, PA
HORNOR, TOWNSEND & KENT, LLC · LOWER GWYNEDD, PA
PFS INVESTMENTS INC. · LOWER GWYNEDD, PA
DILLON CAPITAL MANAGEMENT · AMBLER, PA
CETERA INVESTMENT ADVISERS LLC · AMBLER, PA
STATE FARM INVESTMENT MANAGEMENT CORP. · Ambler, PA

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