Carole Rominger has been an investment adviser representative at Prasad Wealth Partners since August 2025, and is not listed among the firm’s executive officers or direct owners.
Prasad Wealth Partners, LLC is an Independence, OH firm with $572M under management, 729 clients and 5 advisers across 3 offices, as of its July 2026 filing.
Carole Rominger’s longest registration was 11 years at Arbor Point Advisors (2013–2024). Before joining Prasad Wealth Partners in 2025, Carole Rominger was registered through Osaic Advisory Services, LLC and Arbor Point Advisors.
- Prasad Wealth PartnersCurrent– present · 1 yearDurango, CO · Adviser representative · Firm CRD 332507
- Osaic Advisory Services, LLC– · under a yearDurango, CO · Adviser representative · Firm CRD 171070
- Arbor Point Advisors– · 11 yearsDurango, CO · Adviser representative · Firm CRD 165127
- Wells Fargo Advisors Financial Network, LLC– · 4 yearsDurango, CO · Adviser representative · Firm CRD 11025
- Wachovia Securities, LLC– · 6 yearsSacramento, CA · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Carole Rominger is registered as an investment adviser representative in 2 states. Each was approved in August 2025.
- CaliforniaSince 27 August 2025
- ColoradoSince 28 August 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 26 January 2009 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 26 January 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 August 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 March 1997 |
| Series 7 | General Securities Representative Examination | 13 March 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Carole Leah Rominger
- CRD
- 2858356
- Firm
- Prasad Wealth Partners · CRD 332507
- Office
- 679 E. 2nd Ave., Ste E 1-7, Durango, CO 81301
- Registration
- Investment adviser registration
- In the industry since
- March 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Carole Rominger work?
Carole Rominger is an investment adviser representative registered through Prasad Wealth Partners, LLC since August 2025, and is not listed among the firm’s executive officers or direct owners.
Is Carole Rominger a financial advisor?
Yes. Carole Rominger has a current investment-adviser registration in California and Colorado, through Prasad Wealth Partners since August 2025.
How many years of experience does Carole Rominger have?
Carole Rominger has 29 years in the financial industry, since March 1997, across 5 adviser firms.
What exams has Carole Rominger passed?
Carole Rominger has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 10 and Series 9. The earliest, the Series 7, was passed in March 1997. FINRA credited Carole Rominger with the SIE, which began in October 2018.
Where did Carole Rominger work before Prasad Wealth Partners?
Before Prasad Wealth Partners, Carole Rominger was registered through Arbor Point Advisors, June 2013 to November 2024; Wells Fargo Advisors Financial Network, LLC, October 2008 to July 2013; Wachovia Securities, LLC, May 2002 to October 2008.
Where is Carole Rominger based?
Carole Rominger’s registered office is in Durango, CO.
Is Carole Rominger registered with FINRA?
No. Carole Rominger has no current broker registration.
How can I verify Carole Rominger’s record?
Search CRD 2858356 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Carole Rominger’s full registration record.