Joseph P. Romano
Professional summary
Joseph Peter Romano III, who also goes by Joseph Peter Romano, is a registered financial professional currently at WORLD INVESTMENTS, LLC located in Lincroft, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Peter Romano III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2011 - Present
WORLD INVESTMENTS, LLC
Office #1: 437 Newman Springs Road, Lincroft, NJ 07738January 10, 2003 - September 6, 2011
CUMBERLAND BROKERAGE CORPORATION
November 3, 1997 - December 31, 2002
THE LEADERS GROUP, INC.
April 17, 1996 - November 7, 1996
WORLD INVESTMENTS, LLC
July 30, 1992 - April 25, 1994
IDS LIFE INSURANCE COMPANY
July 30, 1992 - April 25, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2016)
(10/21/2011)
(11/22/2021)
Exams
FINRA
Current Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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