Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arturo? Claim Your ProfileArturo Romo is an investment professional with over 10 years of experience. Arturo is currently registered with Wells Fargo Clearing Services, LLC. Arturo has a Series 63, Series 65, and Series 7TO licenses. Arturo specializes in providing financial planning, investment management, and consulting services to individuals and corporations. Arturo has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Arturo is committed to providing his clients with personalized advice and investment strategies.
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.
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.
Investment consulting services to institutional clients
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.
1
2
MD
02/27/2019 - Present
Wells Fargo Clearing Services, LLC (ELKRIDGE MD)
IA
Issued 01/29/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2021
Series 7TO - General Securities Representative Examination
BC
Issued 12/22/2018
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/03/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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