Seth L. Romero
Professional summary
Seth Lenard Romero is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1994. Seth has worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Seth Lenard Romero's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
LPS CAPITAL LLC
Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022November 28, 2008 - April 8, 2025
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 15, 2002 - June 30, 2023
ICAP SECURITIES USA LLC
May 4, 1998 - January 25, 2002
ICAP SECURITIES USA LLC
March 22, 1994 - February 27, 1998
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(4/9/2025)
Exams
FINRA
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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