Richard Romey has been President, Chief Compliance Officer of ETF Portfolio Partners since August 2003, is a control person of the firm and directly owns between 25% and 50% of it.
ETF Portfolio Partners, Inc. is a Leawood, KS firm with $431M under management, 443 clients and 4 advisers across 2 offices, as of its January 2026 filing.
Richard Romey’s longest registration is the current one, 22 years at ETF Portfolio Partners since 2004. Before joining ETF Portfolio Partners in 2004, Richard Romey was registered through Wachovia Securities, LLC and Prudential Securities Incorporated.
- ETF Portfolio Partners, Inc.Current– present · 22 yearsLeawood, KS · Adviser representative · Firm CRD 128366
- Wachovia Securities, LLC– · under a yearOverland Park, KS · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 13 yearsOverland Park, KS · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Richard Romey is registered as an investment adviser representative in 7 states. The first approvals date from April 2004; the most recent is North Carolina, in June 2025.
- CaliforniaSince 23 December 2019
- FloridaSince 29 April 2019
- KansasSince 19 April 2004
- MissouriSince 16 April 2004
- NebraskaSince 8 November 2024
- North CarolinaSince 13 June 2025
- TexasSince 31 January 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 23 August 1999 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 23 August 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 February 1993 |
| Series 3 | National Commodity Futures Examination | 5 September 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 July 1985 |
| Series 7 | General Securities Representative Examination | 20 July 1985 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Dean Romey
- CRD
- 1390931
- Firm
- ETF Portfolio Partners · CRD 128366
- Role
- President, Chief Compliance Officer
- Office
- 4831 W. 136TH STREET, SUITE 300, Leawood, KS 66224
- Registration
- Investment adviser registration
- In the industry since
- September 1989
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Romey work?
Richard Romey has been President, Chief Compliance Officer of ETF Portfolio Partners, Inc. since August 2003, and is a control person of the firm.
Is Richard Romey a financial advisor?
Yes. Richard Romey has a current investment-adviser registration in California, Florida, Kansas, Missouri, Nebraska, North Carolina and Texas, through ETF Portfolio Partners since April 2004.
How many years of experience does Richard Romey have?
Richard Romey has 37 years in the financial industry, since September 1989, across 3 adviser firms.
What exams has Richard Romey passed?
Richard Romey has passed 6 licensing exams: the Series 7, Series 63, Series 3, Series 65, Series 10 and Series 9. The earliest, the Series 7, was passed in July 1985.
Where did Richard Romey work before ETF Portfolio Partners?
Before ETF Portfolio Partners, Richard Romey was registered through Prudential Securities Incorporated, September 1989 to July 2003.
Where is Richard Romey based?
Richard Romey’s registered office is in Leawood, KS.
Is Richard Romey registered with FINRA?
No. Richard Romey has no current broker registration.
How can I verify Richard Romey’s record?
Search CRD 1390931 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Romey’s full registration record.