Lawrence M. Romeu
Professional summary
Lawrence Michael Romeu is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1995. Lawrence has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 86, Series 87, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Michael Romeu's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2015 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017January 21, 2010 - September 4, 2014
VFINANCE INVESTMENTS, INC
November 27, 2007 - September 4, 2014
B. RILEY WEALTH ADVISORS, INC.
September 17, 2007 - September 4, 2014
NATIONAL SECURITIES CORPORATION
February 6, 2004 - September 6, 2007
FIRST MONTAUK SECURITIES CORP.
September 14, 1998 - September 6, 2007
FIRST MONTAUK SECURITIES CORP.
June 2, 1997 - January 27, 1998
PRUDENTIAL EQUITY GROUP, LLC
May 1, 1995 - June 6, 1997
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/30/2015)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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