JR
Joseph A. Romero
RBC CAPITAL MARKETS
Albuquerque, NM 87110-4132
Some features on this profile are disabled
CRD#: 2661681
JR
Professional summary
Joseph Anthony Romero, who also goes by Joe Romero, Joey Romero, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Albuquerque, New Mexico.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Romero | Joey 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.
(1) KIWANIS CLUB OF CORRALES; ADDRESS: PO BOX 3810 CORRALES, NM 87048; BUSINESS DESCRIPTION: COMMUNITY SERVICE; NOT INVESTMENT RELATED; START DATE: 11/01/2011; CAPACITY: BOARD OF DIRECTORS; DUTIES: COMMUNITY SERVICE ALSO CHAIR OF YOUTH SERVICES AND BOARD OF DIRECTORS (2 YR TERM); HOURS DEVOTED PER WEEK: 2; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
(2) CLAUVE MILLER WELL SHARING AGREEMENT; ADDRESS: CORRALES, NM; BUSINESS DESCRIPTION: WELL SHARED BY 5 PEOPLE; NOT INVESTMENT RELATED; START DATE: 02/04/2012; CAPACITY: OWNER-ACTIVE; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0
(3) TBD - TOWN PARK LOFTS AT WEST SULLIVAN; ADDRESS: TBD WEST SULLIVAN KINGSPORT TN; BUSINESS DESCRIPTION: REAL ESTATE DEVELOPMENT; NOT INVESTMENT RELATED; START DATE: 05/31/2016; CAPACITY: SOLE PROPRIETOR; DUTIES: NONE; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0;
(4) RENTAL PROPERTY; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: RENTAL PROPERTY; NOT INVESTMENT RELATED; START DATE: 12/29/2017; CAPACITY: OWNER-ACTIVE; DUTIES: NONE; HOURS DEVOTED PER MONTH: NONE; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE
(5) Name of business: Archer Properties, LLC
Business Description: Hold Rental Property
Whether the business is investment-related: (yes or no)
Address: 1 Perfecto Lopez Corrales, NM 87048
Capacity:Owner - Passive
Start Date: 05/30/19
Duties:silent partner of real estate projects
Hours devoted per month: 0
Hours devoted during securities hours per month: 0
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Romero's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Romero's 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®
NoneExperience
Current
May 27, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
Current
May 4, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
Past
December 12, 2003 - May 13, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ALBUQUERQUE, NM
Past
October 29, 2003 - May 13, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALBUQUERQUE, NM
Past
January 3, 2000 - November 25, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SANTA FE, NM
Past
February 11, 1999 - November 25, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/10/2015)
RR
Arizona(1/27/2010)
RR
Arkansas(4/4/2012)
RR
California(5/4/2009)
RR
Colorado(1/27/2010)
RR
Connecticut(11/13/2017)
RR
Delaware(9/10/2020)
RR
District of Columbia(2/1/2016)
RR
Florida(1/27/2010)
RR
Georgia(1/27/2010)
RR
Hawaii(1/27/2010)
RR
Idaho(7/11/2019)
RR
Illinois(1/27/2010)
RR
Indiana(4/20/2015)
RR
Iowa(4/21/2020)
RR
Kansas(3/17/2020)
RR
Louisiana(1/27/2010)
RR
Maine(3/3/2021)
RR
Maryland(1/27/2010)
RR
Massachusetts(1/27/2010)
RR
Michigan(1/27/2010)
RR
Minnesota(1/28/2014)
RR
Missouri(1/7/2015)
RR
Montana(1/27/2010)
RR
Nebraska(1/27/2010)
RR
Nevada(1/27/2010)
RR
New Hampshire(8/22/2018)
RR
New Jersey(1/27/2010)
RR
New Mexico(5/4/2009)
IAR
New Mexico(5/27/2009)
RR
New York(1/27/2010)
RR
North Carolina(1/27/2010)
RR
Ohio(1/27/2010)
RR
Oklahoma(1/2/2015)
RR
Oregon(1/27/2010)
RR
Pennsylvania(1/27/2010)
RR
South Carolina(8/20/2021)
RR
South Dakota(1/9/2022)
RR
Tennessee(4/10/2015)
RR
Texas(1/27/2010)
IAR
Texas(2/5/2015)
RR
Utah(1/27/2010)
RR
Virginia(1/27/2010)
RR
Washington(1/27/2010)
RR
Wisconsin(1/27/2010)
RR
Wyoming(1/27/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
CRD#: 31194Albuquerque, NM 87110-4132TRUST BUT VERIFY
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