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JUAN MIGUEL ROMO
JUAN MI ROMO, JUAN ROMO, MIGUEL ROMO, J Miguel Romo
CRD#: 2642020
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2013 - 2023 (10 years)2 FIRMS2023 - Present (1 year)BCITI PRIVATE ADVISORY, LLC (CRD# 153777)2017 - 2023 (6 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2011 - 2012 (1 year)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2007 (8 years)BARGENTARIA INTERNATIONAL SECUR... (CRD# 39778)1997 - 1999 (2 years)BCREDIT LYONNAIS SECURITIES (US... (CRD# 190)1995 - 1997 (1 year)
Disclosure(s)
View By:
5/21/2016
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 12/24/2024

B
New Jersey 6/20/2023

B
California 6/20/2023

B
New York 6/20/2023

B
Colorado 6/20/2023

B
South Dakota 6/26/2023

B
Delaware 5/17/2024

B
Texas 6/20/2023

B
Florida 6/20/2023

IA
Texas 6/20/2023

B
Georgia 3/21/2024

B
Utah 6/20/2023

B
Nevada 10/9/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Houston, TX
Registered with this firm since 6/20/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Houston, TX
Registered with this firm since 6/20/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/15/2013 - 06/21/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Houston, TX
B
03/31/2017 - 06/21/2023 CITI PRIVATE ADVISORY, LLC (CRD#:153777) Houston, TX
B
01/31/2013 - 06/21/2023 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) Houston, TX
B
01/01/2011 - 07/25/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) TUCSON, AZ
B
07/27/1999 - 08/06/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
02/12/1997 - 07/07/1999 ARGENTARIA INTERNATIONAL SECURITIES INC. (CRD#:39778) NEW YORK, NY
B
12/01/1995 - 01/09/1997 CREDIT LYONNAIS SECURITIES (USA), INC. (CRD#:190) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
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