Daniel C. Rome, JD
Vice President – Compliance Services and Counsel
Dan has over twenty (20) years of practical experience in the financial services industry including sales, client services, regulatory compliance and securities litigation. His role at AdvisorAssist is to provide counsel and guidance to existing registered investment advisors (RIAs) as well as working with new clients to complete the SEC or State(s) registration process to become an RIA.
Prior to joining AdvisorAssist, he created and managed an internal compliance consulting program for the LPL Financial hybrid RIA platform. The program included drafting disclosure brochures, client agreements, compliance manuals and the code of ethics as well as providing on-going support. He has also served in a broader consulting capacity for several large and small RIAs and broker/dealers across the nation.
In addition to his consulting experience, Dan has served as a compliance resource to such firms as Bank of America, Wells Fargo, Nationwide Financial, The Vanguard Group and Automated Trading Desk (ATD) as well as an Associate Counsel for the securities litigation practice group at the law firm of Motley | Rice, LLC in Charleston, South Carolina.
Dan has a Bachelor of Arts degree in Psychology from West Chester University of Pennsylvania and a Juris Doctor degree from Widener University School of Law (Delaware Law School). He is also a certified Six-Sigma Green Belt and has held the following FINRA licenses: Series 7 – General Securities Representative, Series 24 – General Securities Principal, Series 66 – Uniform Combined State Law, Series 55 – Equity Trader and Series 79 – Investment Banking Representative.
Dan is a licensed attorney in the Commonwealth of Pennsylvania (License No. 88707).
Tel: (617) 800-0388