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David Romero

Nautica Asset Management LLC

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About David Romero

David Romero is an investment advisor representative with Nautica Asset Management LLC. David Romero is currently registered with the state of California. David Romero has been in the financial services industry since 1977. David Romero has experience with insurance, financial planning, and portfolio management for individuals.

Firm Information

David Romero is currently registered with Nautica Asset Management LLC. Nautica Asset Management LLC is an investment advisory firm based in New York, NY. The firm provides financial planning, pension consulting, and portfolio management services to individuals. They manage approximately $782,000 in assets for 22 clients. The firm has 1 licensed agent and 1 investment advisor representative.

$782,000

Assets Under Management

Not reported

Total Clients

4

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Romero’s Registration & Firm History

CA

05/01/2024 - Present

Nautica Asset Management LLC (El Segundo CA)

NE

11/01/1996 - 04/20/2004

AMERITAS INVESTMENT CORP. (LINCOLN NE)

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Licenses & Designations

IA

Issued 09/28/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/31/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/31/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for David Romero.
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