Joan E. Romer
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.
Joan E Romer was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1987. Joan had worked at 8 firms and has passed the Series 63, Series 99TO, SIE 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
May 8, 2023 - December 3, 2024
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
September 15, 2021 - May 12, 2023
CROSS POINT CAPITAL LLC
July 17, 2003 - September 22, 2017
CITIGROUP GLOBAL MARKETS INC.
July 12, 1993 - January 29, 2002
MORGAN STANLEY & CO. LLC
January 5, 1993 - July 15, 1993
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
June 5, 1990 - January 7, 1993
LEHMAN BROTHERS INC.
November 13, 1987 - June 13, 1990
BLUNT ELLIS & LOEWI INCORPORATED
April 29, 1987 - October 23, 1987
FIRST OF MICHIGAN CORPORATION
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
Series 99TO
Date: 9/15/2021
Operations Professional ExaminationCurrent Firm
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
CRD#: 36155 / SEC#: 801-72427, 8-47035
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
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.
