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
Charles John Romano
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehousePennington, Njdual registrantIAPD 6904500
Feed of 09/14/2026
Also filed as Charles John Romano
At current firm
0 y
since Jun 24, 2026
In the industry
11 y
since Sep 1, 2015 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Jun 24, 2026 · Pennington, Nj
- Kestra Advisory Services, LLC BD affiliatedApr 22, 2025 to Apr 1, 2026 · Austin, Tx
- Strategic Advisers LLC national BDMar 31, 2025 to Apr 11, 2025 · Boston, Ma
- Fidelity Personal And Workplace Advisors formerNov 30, 2021 to Mar 31, 2025 · Mount Laurel, Nj
- J.P. Morgan Securities LLC wirehouseMay 18, 2021 to Oct 9, 2021 · Cherry Hill, Nj
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 6, 2018 to Mar 30, 2021 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- Kestra Advisory Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 1, 2026, registered Jun 24, 2026 (84 days) · Affiliated broker-dealer or bank to wirehouse
- Strategic Advisers LLC to Kestra Advisory Services, LLCleft Apr 11, 2025, registered Apr 22, 2025 (11 days) · Affiliated broker-dealer or bank to another
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J.P. Morgan Securities LLC to Fidelity Personal And Workplace Advisorsleft Oct 9, 2021, registered Nov 30, 2021 (52 days) · Wirehouse to affiliated broker-dealer or bank
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLCleft Mar 30, 2021, registered May 18, 2021 (49 days) · Wirehouse to wirehouse
Signals
- Charles John Romano left Kestra Advisory Services, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-06-24)Apr 1, 2026 · Advisor changed firm · fact
- Charles John Romano left Strategic Advisers Llc for Kestra Advisory Services, Llc (registered 2025-04-22)Apr 11, 2025 · 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address