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RIA / WealthAdvisor29 years in industry

CAROLE LEAH ROMINGER

Advisor at PRASAD WEALTH PARTNERS

Durango, CO | INDEPENDENCE, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 2, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRASAD WEALTH PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 14, 1997
First registration: May 2, 2002
Dual registered: no
Other names: CAROLE LEAH ROMINGER|CAROLE LEAH ROMINGEREDWARDS|CAROLE EDWARDS
IAPD individual key: 2858356

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRASAD WEALTH PARTNERS	Independent wealth	Aug 27, 2025	n/a	yes	Durango, CO\|INDEPENDENCE, OH	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	Aug 28, 2025	no	ATLANTA, GA\|Durango, CO	Previous registration
ARBOR POINT ADVISORS	Former SEC adviser	Jun 28, 2013	Nov 8, 2024	no	DURANGO, CO\|DURANGO, CO\|Durango, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 6, 2008	Jul 1, 2013	no	DURANGO, CO\|DURANGO, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 2, 2002	Oct 3, 2008	no	SACRAMENTO, CA\|SACRAMENTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC ADVISORY SERVICES, LLC	PRASAD WEALTH PARTNERS	Aug 28, 2025	Aug 27, 2025	-1	Firm change	Ibd to RIA
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
WELLS FARGO ADVISORS	ARBOR POINT ADVISORS	Jul 1, 2013	Jun 28, 2013	-3	Firm change	Wirehouse to new firm
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	Oct 3, 2008	Oct 6, 2008	3	Channel change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ PRASAD WEALTH PARTNERSRegistered adviserregistration: current employment
Aug 27, 2025 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Nov 8, 2024 to Aug 28, 2025factForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Jun 28, 2013 to Nov 8, 2024factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 6, 2008 to Jul 1, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 2, 2002 to Oct 3, 2008factForm ADV

Dated events

Occurred
Aug 28, 2025
Advisor changed firm
Carole Leah Rominger left Osaic Advisory Services, Llc for Prasad Wealth Partners (registered 2025-08-27)
Form ADVobserved 6 days ago