Richard R. Romero

Q3 ADVISORS

Herndon, VA

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CRD#: 2381082

Professional summary

Richard Ronald Romero, CFP®, who also goes by Richard Ronald Romero, is a registered financial advisor currently at Q3 ADVISORS, LLC located in Herndon, Virginia.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Richard has worked at 17 firms and has passed the Series 63, Series 65, Series 52TO, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 10, Series 9, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Ronald Romero

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ronald Romero's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

March 13, 2024 - Present

Q3 ADVISORS, LLC

RIA

CRD#: 284220

Herndon, VA

Past

January 25, 2023 - March 19, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

VIENNA, VA

Past

January 25, 2023 - March 19, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

VIENNA, VA

Past

February 25, 2020 - January 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LAKE RIDGE, VA

Past

February 25, 2020 - January 20, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LAKE RIDGE, VA

Past

August 30, 2018 - January 8, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

VIENNA, VA

Past

July 13, 2018 - January 8, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

VIENNA, VA

Past

March 29, 2016 - July 9, 2018

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Tysons, VA

Past

March 29, 2016 - July 9, 2018

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Tysons, VA

Past

August 11, 2014 - April 22, 2016

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

WASHINGTON, DC

Past

August 11, 2014 - April 22, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

WASHINGTON, DC

Past

June 11, 2012 - July 2, 2013

XML SECURITIES

RIA

CRD#: 145589

FALLS CHURCH, VA

Past

June 11, 2012 - July 2, 2013

XML SECURITIES

CRD#: 145589

FALLS CHURCH, VA

Past

August 2, 2010 - June 5, 2012

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

WASHINGTON, DC

Past

August 2, 2010 - June 5, 2012

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

WASHINGTON, DC

Past

May 4, 2010 - May 17, 2010

SANDERS MORRIS LLC

CRD#: 20580

FAIRFAX, VA

Past

July 5, 2007 - September 7, 2007

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

FALLS CHURCH, VA

Past

October 18, 2004 - July 6, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

WASHINGTON, DC

Past

September 21, 2004 - July 6, 2005

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

January 23, 2003 - September 29, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

VIENNA, VA

Past

January 2, 2003 - September 29, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 2, 2003 - September 29, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 18, 2002 - October 8, 2002

GV FINANCIAL ADVISORS, INC.

RIA

CRD#: 112118

ROCKVILLE, MD

Past

June 18, 2002 - October 8, 2002

JOYN ADVISORS, INC.

RIA

CRD#: 106725

ROCKVILLE, MD

Past

June 10, 2002 - October 16, 2002

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

May 15, 1997 - May 14, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 9, 1994 - May 21, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 2, 1993 - June 13, 1994

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

Q3 ADVISORS, LLC

CRAIG G WEAR | Q3 ADVISORS, LLC

CRD#: 284220 / SEC#: 801-129519

RIA

Registered Investment Advisory firm - (2/21/2024 Approved)

Arizona

Registered Investment Advisory firm - (4/17/2024 Terminated)

California

Registered Investment Advisory firm - (5/17/2024 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2024 Terminated)

Illinois

Registered Investment Advisory firm - (4/17/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (4/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (4/30/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/22/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (4/17/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2024 Terminated)

Virginia

Registered Investment Advisory firm - (5/9/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(3/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/3/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/14/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/5/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 7/8/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/28/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 27

Date: 5/22/2013

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/26/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/12/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/2012

General Securities Principal Examination

Current Firm

Q3 ADVISORS, LLC

CRAIG G WEAR | Q3 ADVISORS, LLC

CRD#: 284220 / SEC#: 801-129519

RIA

Registered Investment Advisory firm - (2/21/2024 Approved)

Arizona

Registered Investment Advisory firm - (4/17/2024 Terminated)

California

Registered Investment Advisory firm - (5/17/2024 Terminated)

Florida

Registered Investment Advisory firm - (4/17/2024 Terminated)

Illinois

Registered Investment Advisory firm - (4/17/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (4/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (4/30/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/22/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (4/17/2024 Terminated)

Texas

Registered Investment Advisory firm - (4/17/2024 Terminated)

Virginia

Registered Investment Advisory firm - (5/9/2024 Terminated)

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Contact information

Main Address

Arvada, CO

Mailing Address

7314 Ralston Rd, Arvada, CO 80002

Phone number

(720) 730-9892

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (11/12/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Richard R. Romero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Ronald Romero's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

XML SECURITIES

XML SECURITIES

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

SANDERS MORRIS LLC

BB&T INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

GV FINANCIAL ADVISORS, INC.

JOYN ADVISORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DICKINSON & CO.

Primary Firm SEC Registration

Q3 ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/2010

Series 65

Date: 11/14/1994

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/5/2001

Series 31

Date: 7/8/1997

Series 7

Date: 7/28/1993

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 27

Date: 5/22/2013

Series 53

Date: 12/26/2012

Series 4

Date: 11/12/2012

Series 24

Date: 8/20/2012

Current Firm

Q3 ADVISORS, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information