Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Justin? Claim Your ProfileJustin Romero is a financial professional with over 10 years of experience in the industry. Justin is currently registered as a Registered Representative and Investment Advisor Representative with Principal Securities, Inc. and Principal Life Insurance Company in Davidson, North Carolina. Justin has a diverse background, having previously worked with firms such as Morgan Stanley, Ernst & Young Capital Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Vanguard Marketing Corporation. Justin holds Series 7, 79, 63, 65, and 66 licenses. Justin's areas of specialization include portfolio management for individuals and financial 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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
NC
01/12/2024 - Present
Principal Securities, Inc. (DAVIDSON NC)
NC
03/16/2017 - 11/06/2017
MORGAN STANLEY (CHARLOTTE NC)
NC
03/08/2016 - 02/17/2017
ERNST & YOUNG CAPITAL ADVISORS, LLC (CHARLOTTE NC)
NY
11/12/2013 - 10/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NC
05/27/2013 - 10/28/2013
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 01/11/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/20/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/31/2023
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/24/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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