Michael N. Romano
Professional summary
Michael Nicholas Romano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Michael had worked at 2 firms, which includes TP ICAP GLOBAL MARKETS AMERICAS LLC, WJB CAPITAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2012 - February 7, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 1, 2000 - January 17, 2012
WJB CAPITAL GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 1/23/2006
Limited Representative-Equity Trader ExamCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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