Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Romero is a registered representative with LPL Financial LLC. Carlos has over 19 years of experience in the financial services industry. Carlos holds Series 66 and Series 7 securities licenses. Carlos has experience with corporations and businesses, high-net-worth individuals, and charitable organizations.
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
MD
11/01/2013 - Present
LPL Financial LLC (ROCKVILLE MD)
VA
07/17/2012 - 11/04/2013
LARA, MAY & ASSOCIATES, LLC (FALLS CHURCH VA)
MD
06/30/2010 - 06/21/2012
ALLSTATE FINANCIAL SERVICES, LLC (WHEATON MD)
MD
05/29/2009 - 06/17/2010
LPL FINANCIAL CORPORATION (WHEATON MD)
MD
04/28/2008 - 06/02/2009
PNC INVESTMENTS (CLARKSVILLE MD)
VA
07/25/2006 - 03/25/2008
UVEST FINANCIAL SERVICES GROUP, INC. (FALLS CHURCH VA)
GA
04/28/2004 - 02/16/2006
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
NY
05/12/2003 - 04/09/2004
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 05/29/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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