Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Esteban Romero is a registered investment advisor and financial professional with over 15 years of experience in the financial services industry. William is currently registered with MML Investors Services, LLC and has a history of working with various firms including Ameriprise Financial Services, LLC, NYLIFE Securities LLC, AXA Advisors, LLC, and J.P. Morgan Securities LLC. William holds a wide range of licenses and certifications, including Series 63, 66, 7, 10, 9, 53, and 52TO. William provides financial planning, asset allocation programs, educational seminars, portfolio management for businesses and individuals, and selection of other advisers. William is committed to providing personalized financial advice and services to help clients achieve their financial goals.
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.
Asset allocation programs
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.
Solicitors fees
1
2
NY
01/09/2024 - Present
MML Investors Services, LLC (GARDEN CITY NY)
NY
10/19/2018 - 10/13/2023
AMERIPRISE FINANCIAL SERVICES, LLC (New York NY)
NY
02/02/2017 - 02/22/2018
NYLIFE SECURITIES LLC (NEW YORK NY)
NY
04/27/2015 - 01/18/2017
AXA ADVISORS, LLC (ASTORIA NY)
NY
10/01/2012 - 02/10/2015
J.P. MORGAN SECURITIES LLC (ASTORIA NY)
NY
01/08/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (JACKSON HEIGHTS NY)
NY
06/26/2006 - 12/19/2006
NATIONAL SECURITIES CORPORATION (NEW YORK NY)
BOTH
Issued 04/30/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/15/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/15/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/30/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/22/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 02/22/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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