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Stephen Hunter Rome
Westend Advisors, LLC
8 Years of Experience
1 Disclosure
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Westend Advisors, LLC
Compensation
Fee-Only (AUM)
Firm Size
20 advisors
Number of Clients
4,002 clients
Average Client Portfolio
$425K average
Assets Under Management
$1.7B
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Location
Dallas, TX
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History
Regulatory History (1)
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Criminal
April 2007
Final Disposition
View Full SEC Report
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Employment History
Current Registrations
Victory Capital Services, INC.
Broker
July 2023 - Present · 2 yrs 7 mos
Victory Capital Services, INC.
July 2023 - Present · 2 yrs 7 mos
Westend Advisors, LLC
March 2022 - Present · 3 yrs 11 mos
Previous Registrations
Westend Advisors, LLC
April 2018 - February 2022 · 3 yrs 10 mos
Dfa Securities LLC
Broker
September 2016 - January 2018 · 1 yr 4 mos
State Registrations
52 states
AK
AL
AR
AZ
CA
CO
CT
DC
DE
FL
GA
HI
IA
ID
IL
IN
KS
KY
LA
MA
MD
ME
MI
MN
MO
MS
MT
NC
ND
NE
NH
NJ
NM
NV
NY
OH
OK
OR
PA
PR
RI
SC
SD
TN
TX
UT
VA
VT
WA
WI
WV
WY
Advisor
Broker
Both
Exams
No exam information available for this advisor.