Phyllis L. 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.
Phyllis Lee Romano, who also goes by Phyllis Romano, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1992. Phyllis had worked at 6 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
May 15, 2012 - September 2, 2014
GLOBAL ARENA CAPITAL CORP
November 3, 2010 - June 10, 2011
GLOBAL ARENA CAPITAL CORP
March 26, 2009 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
April 22, 2008 - December 4, 2008
PRESTIGE FINANCIAL CENTER, INC.
July 11, 1996 - April 25, 2008
JOSEPH STEVENS & CO., INC.
January 4, 1994 - July 3, 1996
A. R. BARON & CO., INC.
August 24, 1993 - January 6, 1994
EMANUEL AND COMPANY
March 4, 1993 - September 8, 1993
A. R. BARON & CO., INC.
August 19, 1992 - September 8, 1993
A. R. BARON & CO., INC.
April 10, 1992 - August 21, 1992
D. H. BLAIR & CO., 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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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.
