Bernardo A. Romero

GILL CAPITAL PARTNERS

Coral Gables, FL 33134

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CRD#: 1934216

Professional summary

Bernardo Antonio Romero, who also goes by Bernardo Romero, Tony Romero, is a registered financial professional currently at GILL CAPITAL PARTNERS, LLC located in Coral Gables, Florida.

Bernardo is registered as a RR (Registered Representative) and started their career in finance in 1991. Bernardo has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bernardo Romero | Tony Romero

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernardo Antonio Romero's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 30, 2011 - Present

GILL CAPITAL PARTNERS, LLC

Office #1: 2655 Le Jeune Rd, Suite 902, Coral Gables, FL 33134

RIA

CRD#: 14559

Coral Gables, FL

Past

January 30, 2006 - June 22, 2011

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

GREENSBURG, PA

Past

December 8, 1997 - January 30, 2006

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

MIAMI, FL

Past

June 6, 1996 - June 28, 1996

SHAY GOVERNMENT SECURITIES CO.

CRD#: 27214

Past

June 6, 1996 - December 8, 1997

SHAY FINANCIAL SERVICES CO.

CRD#: 27215

IRVING, TX

Past

November 20, 1991 - June 12, 1996

CIC CAPITAL

CRD#: 28644

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/12/2011)

Florida
(7/22/2011)

New York
(8/12/2011)

Ohio
(7/13/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/11/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/18/1991

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 3/6/1989

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

4582 S Ulster Street Suite 1400, Denver, CO 80237

Mailing Address

4582 S Ulster Street Suite 1400, Denver, CO 80237

Phone number

(303) 296-6260

Established

Colorado since 01/01/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GCP ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OBW, LLC	MEMBER
O'BRIEN CAPITAL MANAGEMENT, INC.	ELECTED MANAGER
O'BRIEN, JAMES ROBERT	MANAGER	1594632
ROJAS, LESLIE SQUIRES	CHIEF COMPLIANCE OFFICER, FINOP	4046779
WINSLOW, JOHN SHERWOOD	MANAGER	3084607

Regulatory assets under management

Total Number of Accounts	1,594
AUM (Assets Under Management)	$ 790,007,641

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Bernardo A. Romero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernardo Antonio Romero's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

AUSTIN ATLANTIC CAPITAL INC.

SHAY GOVERNMENT SECURITIES CO.

SHAY FINANCIAL SERVICES CO.

CIC CAPITAL

Primary Firm SEC Registration

GILL CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/2011

SIE

Date: 10/1/2018

Series 7

Date: 5/21/1992

Series 6

Date: 11/18/1991

Series 3

Date: 3/6/1989

Series 24

Date: 7/20/1993

FINRA

Current Firm

GILL CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GILL CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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