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STEVEN ROMANO
STEVE ROMANO
CRD#: 1903263
IA
B
STRATEGIC FINANCIAL CONCEPTS, LLCCRD#: 141849 111 N Broadway, Suite D
Edmond, OK 73034
Edmond, OK 73034
LPL FINANCIAL LLCCRD#: 6413 2524 N BROADWAY; MON ABRI BUSINESS CENTER
EDMOND, OK 73034
EDMOND, OK 73034
0
Disclosures
35
Years of Experience
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State Registrations
B
Colorado 9/17/2013
IA
Oklahoma 8/31/2016
B
Georgia 10/18/2007
B
South Carolina 2/9/2018
B
Mississippi 3/6/2024
B
Texas 2/17/2006
B
Nevada 9/11/2020
IA
Texas 8/31/2016
B
Oklahoma 2/17/2006
SRO Registrations
B
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Registered with this firm since 8/31/2016
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Registered with this firm since 2/17/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/23/2017 - 10/06/2020 | EDMOND, OK | |
IA | 09/14/2006 - 12/23/2016 | EDMOND, OK | |
B | 02/05/1993 - 03/02/2006 | DULUTH, GA | |
B | 01/19/1989 - 12/31/1991 | DULUTH, GA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.