Jerald P. Romine
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jerald Paul Romine was a registered financial professional .
Jerald is a previously registered financial professional and started their career in finance in 1981. Jerald had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1996 - August 5, 1997
FIRST COLONIAL SECURITIES
May 23, 1996 - September 26, 1996
CITIGROUP GLOBAL MARKETS INC.
April 6, 1988 - May 16, 1996
UBS FINANCIAL SERVICES INC.
March 6, 1984 - April 4, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 1982 - April 10, 1984
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1981 - May 4, 1982
NORTHFIELD INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST COLONIAL SECURITIES
CRD#: 25121 / SEC#: , 8-41587
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLONIAL DIRECT FINANCIAL GROUP, INC. | HOLDING CORPORATION | |
| AXELROD, IRWIN | SENIOR AND COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 9180 |
| CAMPANELLA, RICHARD ANTHONY | COO AND BOCA RATON BRANCH MANAGER | |
| GALTERIO, RICHARD LOUIS | BRANCH MANAGER-NEW YORK | 1466226 |
| MARTIN, JEFFREY STEVEN | MUNICIPAL PRINCIPAL | 321321 |
| MIRMAN, ALVIN SAUL | DIRECTOR OF RESEARCH | |
| MIRMAN, ALVIN SAUL | FINANCIAL AND OPERATIONS PRINCIPAL | |
| MOSS, MICHAEL EARL | DIRECTOR | 601445 |
| SIEGEL, MARC NEIL | PRESIDENT & CEO | 1449845 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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