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CHRISTOPHER ROMERO
CRD#: 4335247
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 1150 9TH STREET
SUITE 1212
MODESTO, CA 95354
SUITE 1212
MODESTO, CA 95354
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11/6/2019
Judgment / Lien
11/6/2019
Judgment / Lien
State Registrations
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California 6/19/2023
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Tennessee 7/3/2024
IA
California 6/19/2023
SRO Registrations
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IA
Registered with this firm since 6/19/2023
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Registered with this firm since 4/27/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/02/2011 - 03/03/2020 | ESCALON, CA | |
B | 03/01/2011 - 03/03/2020 | ESCALON, CA | |
IA | 09/15/2010 - 02/04/2011 | TRACY, CA | |
B | 05/02/2009 - 02/04/2011 | TRACY, CA | |
B | 08/11/2003 - 05/02/2009 | MANTECA, CA |
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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.
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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.
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