John Romano
Professional summary
John Romano was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Prior to being barred, John has worked at 4 firms, which includes AEGIS CAPITAL CORP., CASTLE SECURITIES CORP., INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Romano's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2021 - Present
CFM ADVISORS INC
Office #1: 1373 Veterans Highway Suite 10, Hauppauge, NY 11788September 3, 1992 - November 27, 2001
AEGIS CAPITAL CORP.
August 3, 1992 - August 25, 1992
AEGIS CAPITAL CORP.
March 23, 1989 - September 2, 1992
CASTLE SECURITIES CORP.
December 18, 1984 - March 10, 1989
INVESTORS CENTER, INC.
Primary Firm SEC Registration
CFM ADVISORS INC
CRD#: 111581 / SEC#: 801-56891
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/25/2021)
Exams
Series 55
Date: 3/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
CFM ADVISORS INC
CRD#: 111581 / SEC#: 801-56891
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,081 |
| AUM (Assets Under Management) | $ 3,492,215,000 |
Red Flags
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