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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

CHARLES ROMANO

Advisor at WELLS FARGO ADVISORS

DUBLIN, OH

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Search this name across graphsid dfx:ria:8eaf0453-e79e-ad5d-9d8f-ea3dc64d9c08

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2001 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: Mar 24, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Mar 24, 1993
First registration: Sep 27, 2001
Dual registered: yes, broker-dealer
Other names: CHARLES ANTHONY ROMANO|CHARLES ANTHONY ROMANO
IAPD individual key: 2321280

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	Mar 21, 2022	n/a	yes	DUBLIN, OH	Current employment
MORGAN STANLEY	Wirehouse	May 17, 2010	Apr 6, 2022	no	SOUTH JORDAN, UT\|Columbus, OH	Previous registration
EDWARD JONES	National bd RIA	Feb 9, 2010	Apr 5, 2010	no	ST LOUIS, MO	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2009	Dec 4, 2009	no	WESTLAKE, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 17, 2008	Jan 27, 2009	no	COLUMBUS, OH	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	May 15, 2007	Mar 17, 2008	no	DUBLIN, OH	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 8, 2003	Mar 26, 2007	no	DUBLIN, OH\|DUBLIN, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 27, 2001	Jul 10, 2003	no	COLUMBUS, OH	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
MORGAN STANLEY	WELLS FARGO ADVISORS	Apr 6, 2022	Mar 21, 2022	-16	Firm change	Wirehouse to wirehouse
EDWARD JONES	MORGAN STANLEY	Apr 5, 2010	May 17, 2010	42	Firm change	Ibd to wirehouse
STRATEGIC ADVISERS LLC	EDWARD JONES	Dec 4, 2009	Feb 9, 2010	67	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	STRATEGIC ADVISERS LLC	Jan 27, 2009	Mar 31, 2009	63	Firm change	Wirehouse to ibd
ADVICE AND PLANNING SERVICES	UBS FINANCIAL SERVICES INC.	Mar 17, 2008	Apr 17, 2008	31	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	ADVICE AND PLANNING SERVICES	Mar 26, 2007	May 15, 2007	50	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Jul 10, 2003	Aug 8, 2003	29	Firm change	Other

Relationships

Registered with (8)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Mar 21, 2022 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 17, 2010 to Apr 6, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 9, 2010 to Apr 5, 2010factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2009 to Dec 4, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 17, 2008 to Jan 27, 2009factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
May 15, 2007 to Mar 17, 2008factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 8, 2003 to Mar 26, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 27, 2001 to Jul 10, 2003factForm ADV

Dated events

Occurred
Apr 6, 2022
Advisor changed firm
Charles Romano left Morgan Stanley for Wells Fargo Advisors (registered 2022-03-21)
Form ADVobserved 4 days ago