Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Romero is a financial advisor with Securian Financial Services, Inc. James has been working in the financial industry since 2006 and has experience with both Securities and Investment Advisory services. James holds a Series 7, Series 66, and SIE licenses and is registered in California. James has previously been registered in Indiana and California, and previously worked with OneAmerica Securities, Inc., WAMU Investments, Inc., and Ameriprise Financial Services, Inc.
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.
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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2
MN
02/19/2019 - Present
Securian Financial Services, Inc. (ST PAUL MN)
IN
08/27/2008 - 12/31/2018
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
CA
02/26/2007 - 08/06/2008
WAMU INVESTMENTS, INC. (ENCINITAS CA)
CA
06/02/2006 - 02/21/2007
AMERIPRISE FINANCIAL SERVICES, INC. (SAN DIEGO CA)
BOTH
Issued 06/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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