Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Howard? Claim Your ProfileHoward Kenneth Romero is a financial advisor at LPL Financial LLC, with over 40 years of experience in the financial services industry. Based in Tustin, CA, Howard is registered as a broker-dealer and investment advisor, and holds a variety of licenses and certifications, including Series 7, Series 63, Series 65, and Series 24. Howard's focus is on providing comprehensive financial planning and investment management services to individuals, families, and businesses. He is committed to helping clients achieve their financial goals and build a secure future.
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.
1
2
CA
06/09/2005 - Present
LPL Financial LLC (TUSTIN CA)
NA
11/09/1987 - 12/16/1989
LINSCO FINANCIAL GROUP, INC.
NA
07/14/1983 - 11/09/1987
FINANCIAL NETWORK INVESTMENT CORPORATION
NA
10/25/1974 - 10/18/1985
TRAVELERS EQUITIES SALES, INC.
NA
05/15/1979 - 09/02/1983
UNIVERSITY SECURITIES CORPORATION
IA
Issued 02/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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