DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Richard Romero

Td Private Client Wealth LLCBD affiliatedVienna, Vadual registrantIAPD 2381082

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Richard Ronald Romero

At current firm

0 y

since Jan 28, 2026

In the industry

31 y

since Nov 14, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Td Private Client Wealth LLC BD affiliated current
since Jan 28, 2026 · Vienna, Va
Q3 Advisors, LLC no RAUM
Mar 13, 2024 to Dec 1, 2025 · Herndon, Va
Pruco Securities, LLC no RAUM
Jan 25, 2023 to Mar 19, 2024 · North Bethesda, Md
Ameriprise Financial Services, LLC national BD
Feb 25, 2020 to Jan 20, 2023 · Vienna, Va
Pruco Securities, LLC no RAUM
Aug 30, 2018 to Jan 8, 2020 · North Bethesda, Md
Cuso Financial Services, L.P. former
Mar 29, 2016 to Jul 9, 2018 · Tysons, Va
Hsbc Securities (USA) Inc. BD affiliated
Aug 11, 2014 to Apr 22, 2016 · Washington, Dc
Lara, May & Associates, LLC former
Jun 11, 2012 to Jul 2, 2013 · Fairfax, Va
Bb&T Investment Services, Inc. former
Aug 2, 2010 to Jun 5, 2012 · Charlotte, Nc
Bb&T Investment Services, Inc. former
Jul 5, 2007 to Sep 7, 2007 · Charlotte, Nc
Suntrust Investment Services, Inc. former
Oct 18, 2004 to Jul 6, 2005 · Washington, Dc
Osaic Fa, Inc. former
Jan 23, 2003 to Sep 29, 2003 · Vienna, Va
Joyn Advisors, Inc. former
Jun 18, 2002 to Oct 8, 2002 · Rockville, Md
Gv Financial Advisors, Inc. unclassified
Jun 18, 2002 to Oct 8, 2002 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

Q3 Advisors, LLC to Td Private Client Wealth LLC
left Dec 1, 2025, registered Jan 28, 2026 (58 days) · Other
Pruco Securities, LLC to Q3 Advisors, LLC
left Mar 19, 2024, registered Mar 13, 2024 (-6 days) · Other
Ameriprise Financial Services, LLC to Pruco Securities, LLC
left Jan 20, 2023, registered Jan 25, 2023 (5 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to Ameriprise Financial Services, LLC
left Jan 8, 2020, registered Feb 25, 2020 (48 days) · Affiliated broker-dealer or bank to another
Cuso Financial Services, L.P. to Pruco Securities, LLC
left Jul 9, 2018, registered Aug 30, 2018 (52 days) · Affiliated broker-dealer or bank to another
Hsbc Securities (USA) Inc. to Cuso Financial Services, L.P.
left Apr 22, 2016, registered Mar 29, 2016 (-24 days) · Other
Lara, May & Associates, LLC to Hsbc Securities (USA) Inc.
left Jul 2, 2013, registered Aug 11, 2014 (405 days) · Other
Bb&T Investment Services, Inc. to Lara, May & Associates, LLC
left Jun 5, 2012, registered Jun 11, 2012 (6 days) · Other
Suntrust Investment Services, Inc. to Bb&T Investment Services, Inc.
left Jul 6, 2005, registered Jul 5, 2007 (729 days) · Other
Osaic Fa, Inc. to Suntrust Investment Services, Inc.
left Sep 29, 2003, registered Oct 18, 2004 (385 days) · Other
Joyn Advisors, Inc. to Gv Financial Advisors, Inc.
left Oct 8, 2002, registered Jun 18, 2002 (-112 days) · Other
Gv Financial Advisors, Inc. to Osaic Fa, Inc.
left Oct 8, 2002, registered Jan 23, 2003 (107 days) · Other

Signals

Richard Romero left Q3 Advisors, Llc for Td Private Client Wealth Llc (registered 2026-01-28)
Dec 1, 2025 · Advisor changed firm · fact
Richard Romero left Pruco Securities, Llc for Q3 Advisors, Llc (registered 2024-03-13)
Mar 19, 2024 · Advisor changed firm · fact
Richard Romero left Ameriprise Financial Services, Llc for Pruco Securities, Llc (registered 2023-01-25)
Jan 20, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address