Scott E. Romine
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.
Scott Eric Romine was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - August 27, 2018
SII INVESTMENTS, INC.
September 20, 2016 - August 27, 2018
INVESTMENT CENTERS OF AMERICA, INC.
September 20, 2016 - August 27, 2018
INVEST FINANCIAL CORPORATION
August 24, 2016 - June 25, 2018
SII INVESTMENTS, INC.
August 24, 2016 - June 25, 2018
INVESTMENT CENTERS OF AMERICA, INC.
August 22, 2016 - June 25, 2018
NATIONAL PLANNING CORPORATION
August 22, 2016 - August 27, 2018
NATIONAL PLANNING CORPORATION
February 26, 2013 - March 30, 2016
CURIAN CAPITAL, LLC
December 6, 2010 - September 4, 2025
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 24, 2007 - December 17, 2010
NATIONAL PLANNING CORPORATION
December 16, 1998 - December 31, 2003
NATIONAL PLANNING CORPORATION
October 1, 1997 - May 25, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 27, 1996 - September 15, 1997
PASADENA FUND SERVICES, INC.
March 5, 1996 - June 13, 1996
SPELMAN & CO., INC.
August 15, 1995 - March 13, 1996
WESTFIN SECURITIES CORPORATION
December 18, 1992 - July 20, 1994
MORGAN STANLEY DW 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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