James J. Romano
Professional summary
James John Romano was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 6 firms, which includes FIRST ASSET MANAGEMENT INC., PROSPERA FINANCIAL SERVICES INC., REYNOLDS KENDRICK STRATTON INC., CHELSEA STREET SECURITIES INC., BLUESTONE CAPITAL CORP., THE STUART-JAMES COMPANY INCORPORATED.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1995 - November 20, 1995
FIRST ASSET MANAGEMENT, INC.
May 20, 1994 - November 3, 1994
PROSPERA FINANCIAL SERVICES, INC.
February 14, 1994 - March 18, 1994
REYNOLDS KENDRICK STRATTON, INC.
July 12, 1993 - October 8, 1993
REYNOLDS KENDRICK STRATTON, INC.
April 23, 1991 - June 22, 1993
CHELSEA STREET SECURITIES, INC.
November 13, 1990 - April 23, 1991
BLUESTONE CAPITAL CORP.
June 22, 1988 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FIRST ASSET MANAGEMENT, INC.
CRD#: 17341 / SEC#: , 8-35154
Contact information
Documents
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