Individual Firm
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JOHN DOUGLAS ROMERO JR
JOHN DOUGLAS ROMERO, JOHN ROMERO
CRD#: 5777158
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 20 EXECUTIVE PARK
SUITE 190
IRVINE, CA 92614
SUITE 190
IRVINE, CA 92614
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6/7/2013
Customer Dispute
Denied
State Registrations
B
California 7/12/2024
B
Nevada 7/12/2024
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California 7/12/2024
SRO Registrations
B
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IA
Registered with this firm since 7/12/2024
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Registered with this firm since 7/12/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/21/2024 - 05/17/2024 | LAKE OSWEGO, OR | |
B | 02/19/2024 - 05/17/2024 | LAKE OSWEGO, OR | |
IA | 02/23/2022 - 02/14/2024 | Las Vegas, NV | |
B | 02/11/2022 - 02/14/2024 | Las Vegas, NV | |
IA | 10/21/2015 - 01/06/2022 | Henderson, NV | |
B | 10/21/2015 - 01/06/2022 | Henderson, NV | |
IA | 03/13/2015 - 10/20/2015 | GLENDALE, CA | |
B | 08/20/2010 - 10/19/2015 | GLENDALE, CA |
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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.