Vicente Q. Romero
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vicente Quiros Romero, CFP®, who also goes by VIc Romero, Vincente Romero, was a registered financial professional .
Vicente is a previously registered financial professional and started their career in finance in 1996. Vicente had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1998
Experience
January 17, 2019 - July 22, 2025
BEACON INVESTMENT MANAGEMENT
November 8, 2012 - December 31, 2018
BEACON INVESTMENT MANAGEMENT
May 21, 2001 - November 19, 2003
CREATIVE FINANCIAL DESIGNS, INC.
May 7, 2001 - December 2, 2002
CFD INVESTMENTS, INC.
February 10, 1999 - December 31, 2000
AVANTAX INVESTMENT SERVICES, INC.
August 29, 1996 - December 31, 1998
WMA SECURITIES, INC.
June 13, 1996 - August 23, 1996
IDS LIFE INSURANCE COMPANY
June 13, 1996 - August 23, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BEACON INVESTMENT MANAGEMENT
CRD#: 157554 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 8,525,727 |
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.
