Mario A. 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.
Mario Arthur Romano was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1987. Mario had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1991 - May 11, 2001
LCP CAPITAL CORP.
September 27, 1990 - February 27, 1991
R.H.DAMON & CO., INC.
July 26, 1989 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
January 5, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
August 16, 1988 - December 5, 1988
BLUESTONE CAPITAL CORP.
June 15, 1988 - July 5, 1988
FIRST INTERREGIONAL EQUITY CORP.
January 29, 1988 - February 11, 1988
F.D. ROBERTS SECURITIES, INC.
December 8, 1987 - March 14, 1988
COPELAND SECURITIES INCORPORATED
April 29, 1987 - February 2, 1988
STEINBERG & LYMAN
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
LCP CAPITAL CORP.
CRD#: 14469 / SEC#: , 8-44577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HANOVER LP | OWNER | |
| LMJG LP | OWNER | |
| WESTAR CAPITAL CORP | OWNER | |
| ALIOTTA, ANTHONY JOSEPH JR | BRANCH MANAGER/DIRECTOR | 2835162 |
| ARMITAGE, RONALD DAVID | COMPLIANCE OFFICER | 7228 |
| BRODY, KEVIN PATRICK | SALES MANAGER/DIRECTOR | 1912980 |
| CUTRONE, NICHOLAS ALEXANDER | ASSISTANT BRANCH MANAGER | 2692158 |
| MURRAY, DAVID MICHAEL | ASSISTANT BRANCH MANAGER | 1870050 |
| NEWMAN, IRA BERNARD | CFO | 1242346 |
| RICCA, GREGORY EMMANUEL | BRANCH MANAGER/DIRECTOR | 2080220 |
| STOFFERS, CHARLES STEVEN | PRESIDENT/CCO | 826603 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 31 |
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.
