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JR

Joseph A. Romeo

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CRD#: 1356694
JR

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.

Joseph Anthony Romeo was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 5, 2019 - November 11, 2019

PTR, INC.

BD
CRD#: 31559
COLLINGSWOOD, NJ
Past

May 13, 2015 - February 17, 2017

RIVER CROSS SECURITES, LLLP

BD
CRD#: 141919
BALA CYNWYD, PA
Past

April 14, 2009 - January 16, 2013

MACRO RISK ADVISORS LLC

BD
CRD#: 148143
RYE, NY
Past

January 6, 2005 - May 14, 2013

MUFSON HOWE HUNTER & PARTNERS LLC

BD
CRD#: 132353
PHILADELPHIA, PA
Past

November 7, 2003 - February 6, 2009

CORECAP INVESTMENTS, LLC

BD
CRD#: 37068
WAYNE, PA
Past

March 8, 1999 - March 28, 2000

REB SECURITIES, INC.

BD
CRD#: 45466
PHILADELPHIA, PA
Past

January 6, 1993 - December 20, 2001

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

January 15, 1987 - January 7, 1991

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

BD
CRD#: 16201

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/20/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/19/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/18/1984
Financial and Operations Principal Examination

Current Firm

PI
PTR, INC.
PTR, INC.

CRD#: 31559 / SEC#: , 8-39854

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
601 Haddon Avenue Suite 108, Collingswood, NJ 08108
Mailing Address
601 Haddon Avenue Suite 108, Collingswood, NJ 08108
Phone number
(267) 318-7806
Established
Pennsylvania since 03/31/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JAMES CROMPTON INCSHAREHOLDER
CROMPTON, JAMES SRCEO, PRESIDENT, SECRETARY, TREASURER, DIRECTOR57381
DEAHL, LIAM FRANKCHIEF COMPLIANCE OFFICER1681047
KRIM, ALAN MITCHELLCFO/FINOP2785337
MCBRIDE, DENNIS PATRICKDIRECTOR, BUSINESS DEVELOPMENT2322657

Disclosures

Regulatory Event28

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.

Company Information

PTR, INC.

CRD#: 31559

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