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Jose Luis Romero

David Lerner Associates, Inc.

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About Jose Luis Romero

Jose Luis Romero is a financial professional with over 20 years of experience in the industry. Jose is currently registered with David Lerner Associates, Inc. in White Plains, NY. He holds a number of licenses and registrations, including the Series 7, 10, 24, 53, and 63 exams. Jose has a strong background in investments, including experience with BANC of America Investment Services, Inc. and Quick & Reilly, Inc.

Firm Information

Jose Romero is currently registered with David Lerner Associates, Inc.. David Lerner Associates, Inc. is a Corporation that was formed on November 6, 1975. The firm is registered with the Securities and Exchange Commission (SEC) and is approved in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

100

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Jose Romero’s Registration & Firm History

NY

07/07/2010 - Present

David Lerner Associates, Inc. (WHITE PLAINS NY)

RI

10/20/2004 - 01/27/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (LINCOLN RI)

NY

12/19/2000 - 10/20/2004

QUICK & REILLY, INC. (NEW YORK NY)

NY

06/09/2000 - 08/25/2000

INVESTEC ERNST & COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/15/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/18/2010

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/27/2005

Series 24 - General Securities Principal Examination

BC

Issued 05/28/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/28/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/17/2001

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jose Luis Romero. Review regulatory record here.
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