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Romano named to regulatory board advisory panel

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Joseph R. V. Romano, president of the Evanston-based investment firm Romano Brothers & Co., has been appointed to serve as the midwest regional representative on the Small Firm Advisory Board of the Financial Industry Regulatory Authority. 

Joseph R. V. Romano, president of the Evanston-based investment firm Romano Brothers & Co., has been appointed to serve as the midwest regional representative on the Small Firm Advisory Board of the Financial Industry Regulatory Authority. 

The SFAB was established in 1998 by the FINRA Board of Governors to ensure that small firms are apprised of and have reviewed major regulatory initiatives of particular interest and concern to firms with fewer than 150 registered representatives before they are considered by the FINRA Board.  FINRA is the largest nongovernmental regulator for all securities firms doing business in the United States.

Founded in 1962, Romano Brothers & Co. is a fee-based wealth management firm with nearly $1 billion in assets under management.

The firm creates customized portfolios for individuals, corporations, foundations and trusts and favors the use of individual securities such as common stocks, tax-exempt, corporate, and government bonds.

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