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RIA / WealthAdvisorCertified Financial Planner20 years in industry

KELLY JANE ROMANO

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA | Portland, OR

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Search this name across graphsid dfx:ria:9dd7d6a9-8713-7223-2984-89fbf70e2390

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2007 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: EMPIRICAL WEALTH MANAGEMENT
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: Sep 30, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Sep 30, 2005
First registration: Feb 23, 2007
Dual registered: no
IAPD individual key: 4849823

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
EMPIRICAL WEALTH MANAGEMENT	Independent wealth	Jan 13, 2026	n/a	yes	Portland, OR\|SEATTLE, WA	Current employment
FISHER INVESTMENTS	Independent wealth	Sep 18, 2018	Dec 9, 2025	no	PLANO, TX\|Camas, WA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 27, 2014	Sep 12, 2018	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jun 20, 2014	Aug 22, 2014	no	CHICAGO, IL\|Skokie, IL\|CHICAGO, IL\|Chicago, IL	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jun 25, 2013	Jun 21, 2014	no	CHICAGO, IL\|CHICAGO, IL\|SKOKIE, IL\|CHICAGO, IL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 14, 2012	Jun 12, 2013	no	CHICAGO, IL\|ORLAND PARK, IL\|PALOS HILLS, IL\|TINLEY PARK, IL\|ORLAND PARK, IL\|CHICAGO, IL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 31, 2010	Feb 16, 2012	no	CHICAGO, IL	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Nov 8, 2007	Dec 3, 2009	no	SEATTLE, WA\|SEATTLE, WA	Previous registration
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY	n/a	Feb 23, 2007	Apr 30, 2007	no	MILWAUKEE, WI	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
FISHER INVESTMENTS	EMPIRICAL WEALTH MANAGEMENT	Dec 9, 2025	Jan 13, 2026	35	Firm change	RIA to RIA
J.P. MORGAN SECURITIES LLC	FISHER INVESTMENTS	Sep 12, 2018	Sep 18, 2018	6	Firm change	Wirehouse to RIA
U.S. BANCORP INVESTMENTS, INC.	J.P. MORGAN SECURITIES LLC	Aug 22, 2014	Aug 27, 2014	5	Firm change	Other
CITIZENS SECURITIES, INC.	U.S. BANCORP INVESTMENTS, INC.	Jun 21, 2014	Jun 20, 2014	-1	Firm change	Other
PNC WEALTH MANAGEMENT	CITIZENS SECURITIES, INC.	Jun 12, 2013	Jun 25, 2013	13	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	PNC WEALTH MANAGEMENT	Feb 16, 2012	Feb 14, 2012	-2	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	VALIC FINANCIAL ADVISORS, INC.	Dec 3, 2009	Mar 31, 2010	118	Firm change	Other
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Apr 30, 2007	Nov 8, 2007	192	Bulk transfer	Other

Relationships

Registered with (9)

→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jan 13, 2026 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Sep 18, 2018 to Dec 9, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 27, 2014 to Sep 12, 2018factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 20, 2014 to Aug 22, 2014factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jun 25, 2013 to Jun 21, 2014factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 14, 2012 to Jun 12, 2013factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 31, 2010 to Feb 16, 2012factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Nov 8, 2007 to Dec 3, 2009factForm ADV
→ NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Feb 23, 2007 to Apr 30, 2007factForm ADV

Dated events

Occurred
Dec 9, 2025
Advisor changed firm
Kelly Jane Romano left Fisher Investments for Empirical Wealth Management (registered 2026-01-13)
Form ADVobserved 6 days ago