Andrew Rome is a registered investment advisor, based in Chicago, IL, with 14 years of industry experience.
Location
Chicago, IL
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Regulatory History (1)
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Customer Dispute
August 2024Settled
Other Business ActivitiesSells Insurance
Andrew is a board member for two non-profit organizations and an advisor for David L Johnson's team. He also holds an insurance license for sales and service and provides ad hoc financial education.
Employment History
Current Registrations
Signature Estate Securities, LLC
August 2023 - Present · 2 yrs 8 mos
Signature Estate Securities, LLCBroker
August 2023 - Present · 2 yrs 8 mos
Seia
October 2014 - Present · 11 yrs 6 mos
Previous Registrations
Osaic Wealth, INC.Broker
November 2018 - August 2023 · 4 yrs 9 mos
Signator Investors, INC.
February 2012 - April 2014 · 2 yrs 2 mos
Signator Investors, INC.Broker
August 2011 - November 2018 · 7 yrs 3 mos
State Registrations2 states
ILOR
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.