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 has been an active investment advisor representative for over 27 years. Carlos has a wide range of experience in the financial services industry, having worked at several major firms, including Wells Fargo Advisors, Morgan Stanley, and Lehman Brothers. Carlos is currently registered with IP Financial Advisory Services LLC and is a Registered Representative and Investment Advisor Representative. Carlos provides a variety of advisory services including financial planning, portfolio management for individuals and businesses, and consulting services to qualified retirement plans.
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.
Consulting services to qualified retirement plans
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.
A percentage of the total value of assets under management is charged.
Recurring fees
1
2
FL
01/02/2024 - Present
IP Financial Advisory Services LLC (Boca Raton FL)
FL
06/09/2014 - 12/12/2023
NEXT FINANCIAL GROUP, INC. (BOCA RATON FL)
FL
08/10/2012 - 06/10/2014
WELLS FARGO ADVISORS, LLC (BOCA RATON FL)
FL
06/01/2009 - 08/16/2012
MORGAN STANLEY SMITH BARNEY (BOCA RATON FL)
FL
02/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BOCA RATON FL)
FL
04/11/2003 - 03/13/2008
CITIGROUP GLOBAL MARKETS INC. (BOCA RATON FL)
NY
03/27/2001 - 04/03/2003
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
01/13/2001 - 04/12/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
08/06/1996 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BOTH
Issued 10/03/2014
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2020
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/05/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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