Mark D. Romano
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.
Mark David Romano was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark 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
June 20, 2001 - February 25, 2003
THE LEADERS GROUP, INC.
April 26, 2001 - June 4, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 26, 2001 - June 4, 2001
OSAIC FA, INC.
July 11, 1999 - April 16, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 19, 1995 - July 15, 1999
OSAIC WEALTH, INC.
October 12, 1995 - July 16, 1999
1717 CAPITAL MANAGEMENT COMPANY
October 13, 1994 - October 24, 1995
WMA SECURITIES, INC.
October 27, 1989 - February 12, 1991
USLIFE EQUITY SALES CORP.
November 19, 1985 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
November 19, 1985 - July 6, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 19, 1985 - July 6, 1989
OSAIC FA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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