Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan Miguel Romo is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Juan has been working in the financial industry since 1999 and is registered with the state of Texas as a Registered Representative and Investment Advisor Representative. Juan has a total of 12 years of experience in the industry. Previously, Juan was employed by Citi Private Advisory, LLC, Citigroup Global Markets Inc., J.P. Morgan Securities LLC and Argentaria International Securities Inc. Juan holds licenses for Series 7, 63, 31, and 65 exams.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
06/21/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
03/31/2017 - 06/21/2023
CITI PRIVATE ADVISORY, LLC (Houston TX)
TX
01/31/2013 - 06/21/2023
CITIGROUP GLOBAL MARKETS INC. (Houston TX)
AZ
01/01/2011 - 07/25/2012
J.P. MORGAN SECURITIES LLC (TUCSON AZ)
NY
07/27/1999 - 08/06/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
02/12/1997 - 07/07/1999
ARGENTARIA INTERNATIONAL SECURITIES INC. (NEW YORK NY)
NY
12/01/1995 - 01/09/1997
CREDIT LYONNAIS SECURITIES (USA), INC. (NEW YORK NY)
IA
Issued 04/13/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 12/28/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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