Joseph Romano has been Owner/CEO/ CCO of Eagle Wealth Advisors since December 2020, is a control person of the firm and directly owns 75% or more of it.
Eagle Wealth Advisors is a firm with $164M under management, 101 clients and 3 advisers in one office, as of its May 2026 filing.
Joseph Romano’s longest registration is the current one, 6 years at Eagle Wealth Advisors since 2020. Before joining Eagle Wealth Advisors in 2020, Joseph Romano was registered through Aegis Capital Corp. and JHS Capital Advisors, LLC.
- Eagle Wealth AdvisorsCurrent– present · 6 yearsWestport, CT · Adviser representative · Firm CRD 299219
- Aegis Capital Corp.– · 6 yearsSarasota, FL · Adviser representative · Firm CRD 15007
- JHS Capital Advisors, LLC– · under a yearSarasota, FL · Adviser representative · Firm CRD 112097
- Cadaret Grant & Co Inc– · 2 yearsSarasota, FL · Adviser representative · Firm CRD 10641
Investment adviser representative registrations
Joseph Romano is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from May 2020; the most recent is Texas, in March 2024.
- FloridaSince 14 May 2020
- New YorkSince 22 July 2022
- TexasResidentSince 7 March 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 5 January 2024 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 5 January 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 2 November 2012 |
| Series 7 | General Securities Representative Examination | 16 April 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 April 1984 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 April 1984 |
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joseph Anthony Romano
- CRD
- 1251672
- Firm
- Eagle Wealth Advisors · CRD 299219
- Role
- Owner/CEO/ CCO
- Office
- Westport, CT
- Registration
- Investment adviser registration
- In the industry since
- May 1984
- Disciplinary history
- Not yet shown here · SEC record
Where does Joseph Romano work?
Joseph Romano has been Owner/CEO/ CCO of Eagle Wealth Advisors since December 2020, and is a control person of the firm.
Is Joseph Romano a financial advisor?
Yes. Joseph Romano has a current investment-adviser registration in Florida, New York and Texas, through Eagle Wealth Advisors since May 2020.
How many years of experience does Joseph Romano have?
Joseph Romano has 42 years in the financial industry, since May 1984, across 4 adviser firms.
What exams has Joseph Romano passed?
Joseph Romano has passed 6 licensing exams: the Series 63, Series 6, Series 7, Series 65, Series 7TO and Series 6TO. The earliest, the Series 63, was passed in April 1984. FINRA credited Joseph Romano with the SIE, which began in October 2018.
Where did Joseph Romano work before Eagle Wealth Advisors?
Before Eagle Wealth Advisors, Joseph Romano was registered through JHS Capital Advisors, LLC, January 2015 to June 2015; Cadaret Grant & Co Inc, November 2012 to January 2015.
Where is Joseph Romano based?
Joseph Romano’s registered office is in Westport, CT.
Is Joseph Romano registered with FINRA?
No. Joseph Romano has no current broker registration.
How can I verify Joseph Romano’s record?
Search CRD 1251672 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Romano’s full registration record.