Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dean? Claim Your ProfileDean Arthur Romo is a financial advisor with over 30 years of experience in the industry. Dean is currently registered with Raymond James Financial Services Advisors, Inc. in California and has previously worked with firms such as Prudential Securities Incorporated, PaineWebber Incorporated, and Chatfield Dean & Co., Inc. Dean has a strong track record of success and is committed to providing his clients with personalized financial advice. He is dedicated to helping clients reach their financial goals. Dean is licensed to provide financial advice in several states, including Arizona, Arkansas, California, Colorado, Hawaii, Idaho, Illinois, Indiana, Kansas, Minnesota, Montana, Nebraska, New Hampshire, New York, Ohio, Oregon, Tennessee, Texas, Utah, Virginia, and Washington.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (SAN JUAN CAPISTRANO CA)
NY
10/13/1998 - 03/27/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/10/1993 - 10/21/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CO
10/01/1992 - 10/26/1992
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 08/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/17/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/14/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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