Salvatore 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.
Salvatore Dominic Romano, who also goes by Saluatore Dominic Romano, was a registered financial professional .
Salvatore is a previously registered financial professional and started their career in finance in 1988. Salvatore had worked at 10 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 3, 1992 - April 29, 1992
MUTUAL SECURITIES, INC.
February 28, 1991 - February 28, 1992
CENPAC SECURITIES CORP.
March 5, 1990 - March 13, 1991
FINANCIAL EQUITIES RESOURCES, INC.
February 13, 1990 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
February 12, 1990 - February 20, 1990
GLOBAL CAPITAL SECURITIES, INC.
September 28, 1989 - November 25, 1989
A.J. MICHAELS & CO., LTD.
July 13, 1989 - July 25, 1989
STRATTON OAKMONT INC.
April 21, 1989 - June 24, 1989
GRUNTAL & CO., L.L.C.
February 23, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
March 22, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, 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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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