Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Douglas Romero is a financial professional with over 13 years of experience in the industry. John has a wide range of experience having worked with Principal Securities, Inc., MML Investors Services, LLC, Thrivent Investment Management Inc., and NYLIFE Securities LLC. John holds Series 6, 7, 24 and 66 licenses and is currently registered with Equity Services, Inc. John has a strong focus on financial planning, pension consulting, and portfolio management for both individuals and businesses.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
07/12/2024 - Present
Equity Services, Inc. (IRVINE CA)
OR
02/19/2024 - 05/17/2024
PRINCIPAL SECURITIES, INC. (LAKE OSWEGO OR)
NV
02/11/2022 - 02/14/2024
MML INVESTORS SERVICES, LLC (Las Vegas NV)
NV
10/21/2015 - 01/06/2022
THRIVENT INVESTMENT MANAGEMENT INC. (Henderson NV)
CA
08/20/2010 - 10/19/2015
NYLIFE SECURITIES LLC (GLENDALE CA)
BOTH
Issued 01/30/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/07/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2014
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/19/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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