Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandy? Claim Your ProfileSandy Romeo is a financial advisor with over 30 years of experience in the industry. Sandy has worked for several firms, including UBS Financial Services Inc., Ameriprise Financial Services, Inc., and now LPL Financial LLC. Sandy holds both Series 66 and 63 licenses as well as Series 7, 31, and SIE. Sandy currently offers financial planning, portfolio management for businesses and individuals, and other consulting services.
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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2
NY
08/03/2021 - Present
LPL Financial LLC (PITTSFORD NY)
NY
04/17/2015 - 10/29/2019
AMERIPRISE FINANCIAL SERVICES, INC. (PITTSFORD NY)
NY
01/04/2008 - 04/28/2015
UBS FINANCIAL SERVICES INC. (ROCHESTER NY)
NY
04/02/2007 - 01/07/2008
MORGAN STANLEY & CO., INCORPORATED (ROCHESTER NY)
NY
11/17/2006 - 04/02/2007
MORGAN STANLEY DW INC. (ROCHESTER NY)
OH
11/01/2004 - 12/08/2006
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
MD
02/24/2000 - 11/01/2004
M&T SECURITIES, INC. (BALTIMORE MD)
IL
12/12/1995 - 10/02/2000
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NA
10/16/1995 - 11/07/1995
CHASE MANHATTAN INVESTMENT SERVICES, INC.
TX
02/01/1995 - 10/11/1995
BHCM INC. (HOUSTON TX)
VA
05/07/1993 - 02/01/1995
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
09/20/1989 - 04/22/1993
F & G SECURITIES, INC.
NJ
10/01/1987 - 09/06/1989
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NA
02/26/1987 - 03/13/1987
J. W. GANT & ASSOCIATES, INC.
BOTH
Issued 02/15/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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