Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid William Romero is a financial advisor with over 20 years of experience in the industry. David has a broad range of experience in the financial services industry, including roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., Wells Fargo Investments, LLC and Wells Fargo Clearing Services, LLC. Currently, David is a registered representative with Householder Group Estate & Retirement Specialists, an independent investment advisor firm, and LPL Financial. David specializes in providing financial planning and investment advice to individuals, businesses, pension plans, 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.
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.
Portion of third party manager fees
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2
AZ
12/07/2020 - Present
Householder Group Estate & Retirement Specialists (SCOTTSDALE AZ)
AZ
01/03/2011 - 01/19/2017
WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)
AZ
08/13/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (PHOENIX AZ)
AZ
10/23/2009 - 08/16/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
09/20/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FOUNTAIN HILLS AZ)
AZ
01/19/2005 - 09/16/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
AZ
01/19/2005 - 01/25/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
AZ
01/19/2005 - 01/25/2005
SPELMAN & CO., INC. (PHOENIX AZ)
TX
01/14/2004 - 09/02/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CT
09/10/2001 - 08/05/2003
ING FUNDS DISTRIBUTOR, LLC (WINDSOR CT)
MI
09/27/1999 - 09/06/2001
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
AZ
04/08/1999 - 07/29/1999
SIMMERS CAPITAL MANAGEMENT CORPORATION (PHOENIX AZ)
BOTH
Issued 09/29/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/29/1999
Series 7 - General Securities Representative Examination
BC
Issued 09/24/1999
Series 52 - Municipal Securities Representative Examination
BC
Issued 03/30/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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