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Detailed Report
GLORIA R. FRANZ
GLORIA R ALMANZA, GLORIA ROMERO FRANZ, GLORIA ALMANZA ROMERO, GLORIA ROMERO-FRANZ, GLORIA ROMERO-FRAZ…
CRD#: 2249188
IA
Investment Adviser
B
Broker
THE WEALTH CONSULTING GROUPCRD#: 173194 34220 GATEWAY DRIVE SUITE 100
PALM DESERT, CA 92211
LPL FINANCIAL LLCCRD#: 6413 34220 GATEWAY DR, STE 100
PALM DESERT, CA 92211
Registration History
19952000200520102015202020252 FIRMS2000 - 2007 (6 years)2 FIRMS2007 - 2017 (10 years)2 FIRMS2017 - Present (7 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)1999 - 2000 (1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1996 - 1999 (2 years)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1992 - 1996 (4 years)
License(s)

State Registrations

B
Arizona 4/27/2017
B
Nevada 7/31/2019
B
California 4/27/2017
B
New Mexico 4/27/2017
IA
California 4/27/2017
B
New York 4/27/2017
B
Colorado 4/27/2017
IA
New York 5/5/2021
B
Florida 4/27/2017
B
North Carolina 4/27/2017
B
Idaho 6/18/2024
B
Oregon 4/27/2017
B
Illinois 4/27/2017
B
Tennessee 2/2/2024
B
Louisiana 4/27/2017
B
Texas 4/27/2017
B
Massachusetts 4/22/2024
IA
Texas 4/27/2017
B
Montana 4/27/2017
B
Washington 4/27/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
THE WEALTH CONSULTING GROUP (CRD#:173194)
34220 GATEWAY DRIVE SUITE 100, PALM DESERT, CA 92211
Registered with this firm since 4/27/2017
B
LPL FINANCIAL LLC (CRD#:6413)
34220 GATEWAY DR, STE 100, PALM DESERT, CA 92211
Registered with this firm since 4/27/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/12/2007 - 04/27/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) PALM DESERT, CA
B
 01/12/2007 - 04/27/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) PALM DESERT, CA
IA
 10/13/2000 - 01/25/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALM DESERT, CA
B
 10/02/2000 - 01/25/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) PALM DESERT, CA
B
 07/15/1999 - 10/06/2000 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 08/12/1996 - 07/15/1999 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 07/27/1992 - 08/14/1996 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.