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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

PHILIP ROMANO

Advisor at WELLS FARGO ADVISORS

RALEIGH, NC | ROCHESTER, NY

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Search this name across graphsid dfx:ria:5a82d033-8f36-dda3-cc98-3c9d3323eb31

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2014 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 28, 2013
First registration: Jan 17, 2014
Dual registered: yes, broker-dealer
Other names: PHILIP CHARLES ROMANO
IAPD individual key: 6147022

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
WELLS FARGO ADVISORS	Wirehouse	Aug 8, 2025	n/a	yes	RALEIGH, NC\|ROCHESTER, NY	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	Aug 12, 2025	no	RALEIGH, NC	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Feb 10, 2017	Nov 2, 2018	no	RALEIGH, NC	Previous registration
ALLEGHENY FINANCIAL GROUP	Independent wealth	Jan 17, 2014	Oct 12, 2017	no	PITTSBURGH, PA	Previous registration
ALLEGHENY INVESTMENTS	Independent wealth	Jan 17, 2014	Feb 10, 2017	no	PITTSBURGH, PA\|PITTSBURGH, PA\|PITTSBURGH, PA	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 WEALTH, INC.	WELLS FARGO ADVISORS	Aug 12, 2025	Aug 8, 2025	-4	Firm change	Ibd to wirehouse
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
ALLEGHENY FINANCIAL GROUP	SIGNATOR INVESTORS, INC.	Oct 12, 2017	Feb 10, 2017	-244	Firm change after gap	Other
ALLEGHENY INVESTMENTS	ALLEGHENY FINANCIAL GROUP	Feb 10, 2017	Jan 17, 2014	-1,120	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
23131:11025:NC:2025-08-12	Aug 12, 2025	Aug 8, 2025	RALEIGH, NC	Firm change

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Aug 8, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Nov 2, 2018 to Aug 12, 2025factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Feb 10, 2017 to Nov 2, 2018factForm ADV
→ ALLEGHENY FINANCIAL GROUPRegistered adviserregistration: previous registration
Jan 17, 2014 to Oct 12, 2017factForm ADV
→ ALLEGHENY INVESTMENTSRegistered adviserregistration: previous registration
Jan 17, 2014 to Feb 10, 2017factForm ADV

Dated events

Occurred
Aug 12, 2025
Advisor changed firm
Philip Romano left Osaic Wealth, Inc. for Wells Fargo Advisors (registered 2025-08-08)
Form ADVobserved 5 days ago