Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Romero is a financial professional with over two years of experience in the industry. Luis is currently registered with ADP Broker-Dealer, Inc. in Allentown, Pennsylvania, having joined the firm in June 2023. Prior to that, Luis worked at Ally Invest Securities LLC in Charlotte, North Carolina, and Morgan Stanley in Gilbert, Arizona. Luis holds the Series 6, 7, and 66 securities licenses and is registered in all 50 states. Luis specializes in providing financial guidance and investment solutions to individuals and families.
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.
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.
1
2
PA
06/14/2023 - Present
ADP Broker-Dealer, Inc. (Allentown PA)
NC
08/06/2021 - 03/16/2022
ALLY INVEST SECURITIES LLC (CHARLOTTE NC)
AZ
02/19/2021 - 07/13/2021
MORGAN STANLEY (Gilbert AZ)
AZ
05/30/2018 - 07/23/2018
WELLS FARGO CLEARING SERVICES, LLC (TUCSON AZ)
BOTH
Issued 04/22/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/19/2021
Series 7TO - General Securities Representative Examination
BC
Issued 07/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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