Peter L. Romano
Professional summary
Peter Leonard Romano is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 12 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Leonard Romano's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2024 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036July 28, 2014 - June 16, 2023
J.P. MORGAN SECURITIES LLC
November 9, 2011 - June 16, 2014
BNP PARIBAS PRIME BROKERAGE, INC.
September 6, 2005 - June 16, 2014
BNP PARIBAS SECURITIES CORP.
June 20, 2002 - January 3, 2005
MURIEL SIEBERT & CO., LLC
July 6, 1998 - December 7, 2001
NEBRASKA HUDSON COMPANY, INC.
March 6, 1998 - April 27, 1998
CITICORP INVESTMENT SERVICES
January 8, 1997 - February 20, 1998
FLEET BROKERAGE SECURITIES, INC.
January 22, 1996 - April 19, 1996
CHARLES SCHWAB & CO., INC.
June 2, 1994 - August 10, 1994
CITIGROUP GLOBAL MARKETS INC.
December 8, 1993 - April 5, 1994
CIBC WORLD MARKETS CORP.
September 15, 1992 - April 16, 1993
SOUTH RICHMOND 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/18/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 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.
