Deborah E. Romary
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.
Deborah Ellen Romary, who also goes by Deb Romary, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1983. Deborah had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2007 - December 18, 2012
LEVEL FOUR FINANCIAL, LLC
May 18, 2004 - October 15, 2007
WOLF FINANCIAL MANAGEMENT, LLC
December 5, 2001 - July 6, 2004
NSA SECURITIES CORPORATION
September 20, 1999 - December 3, 2001
IAC SECURITIES, INC.
February 8, 1991 - September 16, 1999
FFP SECURITIES, INC.
February 22, 1990 - July 23, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 22, 1990 - July 23, 1990
PRUCO SECURITIES, LLC.
February 5, 1986 - February 15, 1990
FSC SECURITIES CORPORATION
May 29, 1984 - March 3, 1986
PRUCO SECURITIES, LLC.
October 19, 1983 - February 15, 1990
FSC SECURITIES CORPORATION
July 18, 1983 - April 27, 1984
FSC SECURITIES CORPORATION
May 18, 1983 - July 1, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEVEL FOUR FINANCIAL, LLC
CRD#: 25700 / SEC#: 801-65811, 8-41965
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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