Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jorge? Claim Your ProfileJorge E. Romero is a financial advisor with over 22 years of experience in the financial industry. Jorge is registered with LPL Financial LLC in New York and Texas. Jorge has been a registered representative since 1999 and has held licenses with several other firms throughout his career, including Oppenheimer & Co. Inc., Morgan Stanley, Nationwide Investment Services Corporation, TD Waterhouse Investor Services, Inc., and First Union Securities, Inc. Jorge is a Certified Financial Planner and holds licenses for Series 7, 63, 66, 31, and 55. Jorge's specializations include investments, retirement planning, insurance, estate planning, and college planning.
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.
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NY
06/29/2023 - Present
LPL Financial LLC (ISLAND PARK NY)
NY
11/02/2017 - 06/30/2023
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
03/31/2010 - 11/06/2017
MORGAN STANLEY (NEW YORK NY)
OH
01/31/2007 - 03/15/2010
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
NE
03/28/2005 - 04/12/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IL
03/03/2003 - 03/30/2005
ASSENT LLC (BOLINGBROOK IL)
NY
01/09/2002 - 03/07/2003
WORLDCO, L.L.C. (NEW YORK NY)
NY
02/19/2003 - 03/03/2003
ANDOVER BROKERAGE, L.L.C. (MONTEBELLO NY)
NY
10/08/2001 - 12/13/2001
IRONHORSE SECURITIES INC. (NEW YORK NY)
MO
10/05/1999 - 09/21/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 05/23/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 11/20/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/04/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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