Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Romero is a financial advisor with over 20 years of experience in the industry. Alan is currently registered with LPL Financial LLC in Colorado and Texas. Alan has previously worked with ALLSTATE FINANCIAL SERVICES, LLC, BBVA SECURITIES INC., AXA ADVISORS, LLC, UBS FINANCIAL SERVICES INC., CUSO FINANCIAL SERVICES, L.P., WESTERN INTERNATIONAL SECURITIES, INC., MORGAN STANLEY DW INC., and JWGENESIS FINANCIAL GROUP, INC. Alan offers a variety of financial services including financial planning, portfolio management, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CO
12/06/2022 - Present
LPL Financial LLC (BOULDER CO)
CO
05/14/2018 - 09/30/2020
ALLSTATE FINANCIAL SERVICES, LLC (Windsor CO)
CO
06/06/2017 - 04/27/2018
BBVA SECURITIES INC. (NORTHGLENN CO)
CO
07/27/2016 - 06/06/2017
AXA ADVISORS, LLC (DENVER CO)
CO
06/30/2015 - 05/26/2016
LPL FINANCIAL LLC (WESTMINSTER CO)
CO
08/25/2011 - 12/23/2014
UBS FINANCIAL SERVICES INC. (DENVER CO)
CO
07/24/2003 - 08/26/2011
CUSO FINANCIAL SERVICES, L.P. (DENVER CO)
CA
04/10/2001 - 08/15/2002
WESTERN INTERNATIONAL SECURITIES, INC. (PASADENA CA)
NY
06/30/2000 - 04/10/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
FL
08/30/1999 - 06/19/2000
JWGENESIS FINANCIAL GROUP, INC (BOCA RATON FL)
BOTH
Issued 08/21/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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