Romero Scigliano

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CRD#: 1281124

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.

Romero Scigliano, who also goes by Romero Leo Scigliano, was a registered financial professional .

Romero is a previously registered financial professional and started their career in finance in 1984. Romero had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 53 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Romero Leo Scigliano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 8, 2014 - August 2, 2017

3 FACTOR INDEXING, LLC

RIA

CRD#: 160356

WOODSIDE, CA

Past

November 13, 2009 - November 30, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

FORT WORTH, TX

Past

November 13, 2009 - November 30, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

FORT WORTH, TX

Past

October 28, 2009 - November 30, 2012

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

January 2, 2008 - January 14, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

April 2, 1992 - January 14, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

Past

February 11, 1992 - March 27, 1992

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

June 7, 1990 - December 11, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 21, 1984 - July 25, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC | SYNTHIUM CAPITAL, LLC

CRD#: 160356 / SEC#: 801-110926

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

California

Registered Investment Advisory firm - (2/5/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 1/23/1997

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/24/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

3 FACTOR INDEXING, LLC

3 FACTOR INDEXING, LLC | SYNTHIUM CAPITAL, LLC

CRD#: 160356 / SEC#: 801-110926

RIA

Registered Investment Advisory firm - (8/1/2017 Approved)

California

Registered Investment Advisory firm - (2/5/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/6/2022 Terminated)

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Contact information

Main Address

Woodside, CA

Mailing Address

Phone number

(650) 387-0055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/1/2025)

ADV PART 2B AS (4/1/2025)

ADV PART 2B RS (4/1/2025)

Regulatory assets under management

Total Number of Accounts	200
AUM (Assets Under Management)	$ 169,584,549

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Romero Scigliano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MARKETING ONE SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

3 FACTOR INDEXING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2007

Series 63

Date: 9/18/1984

Series 7

Date: 8/18/1984

Series 24

Date: 3/12/1998

Series 53

Date: 1/23/1997

Series 8

Date: 12/24/1996

Current Firm

3 FACTOR INDEXING, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

3 FACTOR INDEXING, LLC

TRUST BUT VERIFY

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