Steven Romagna

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-08
WI	RA	APPROVED	2021-03-04

TX RA
APPROVED_RES

Since 2021-03-08
WI RA
APPROVED

Since 2021-03-04

Branch Locations

N88 W16447 Main St 3Rd Fl Ste 400 [Satellite], Menomonee Falls, WI 53051 • United States

120 N Main St Ste 250, West Bend, WI 53095 • 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
Wells Fargo Advisors Llc	Waukesha	WI	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Waukesha	WI	11/2016	03/2021
Wells Fargo Advisors Financial Network, Llc	Menomonee Falls	WI	03/2021	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Waukesha, WI
11/2016 → 03/2021

Wells Fargo Clearing Services, Llc

Waukesha, WI
03/2021 → Present

Wells Fargo Advisors Financial Network, Llc

Menomonee Falls, WI

Previous Registrations

2003-07-01 → 2021-03-04

Wells Fargo Clearing Services, Llc

Waukesha, WI

Waukesha, WI
2002-05-02 → 2003-07-01

Prudential Equity Group, Llc

Milwaukee, WI

Other Businesses

VEJC MILL FALLS RENTALS LLC, INV RELATED, COLGATE, WI, 100% OWNERSHIP, START 10/1/2020, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY.| COMMERCIAL RENTAL PROPERTY, INV RELATED, MENOMONEE FALLS, WI, 100% OWNERSHIP, START 12/1/2020, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING.| SRTF TAX PREP SERVICES LLC; INV RELATED; MENOMONEE FALLS, WI; TAX PREP FOR TOP CLIENTS; 49% OWNERSHIP; START DATE 05/01/2025; 5 HOURS PER MONTH; 5 HOURS DURING TRADING ROMANGA WEALTH MANAGEMENT GROUP LLC, INV RELATED, MENOMONEE FALLS, WI, 100% OWNERSHIP, START 3/1/2021, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. ROMANGA WEALTH MANAGEMENT GROUP LLC 401K, INV RELATED, MENOMONEE FALLS, WI, TRUSTEE, START 3/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE. THE IRA GROUP LLC; INV RELATED; WEST BEND, WI; 25% OWNERSHIP; START: 11/6/2023; 2 HOURS PER MONTH; 0 DURING TRADING; FINET PRACTICE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-05-28
S63	Uniform Securities Agent State Law Examination	1996-04-23

S65 Uniform Investment Adviser Law Examination

1996-05-28
S63 Uniform Securities Agent State Law Examination

1996-04-23

Designations

Certified Financial Planner

Other Names

Steven Patrick Romagna

View on SEC IAPD