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DR

David Romero

NAUTICA ASSET MANAGEMENT
UPLAND, CA
Some features on this profile are disabled
CRD#: 2817293
DR

Professional summary

David Romero, who also goes by David Herman Romero, is a registered financial advisor currently at NAUTICA ASSET MANAGEMENT LLC located in Upland, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. David has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Herman 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 David 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®
None

Experience

Current

May 1, 2024 - Present

NAUTICA ASSET MANAGEMENT LLC

RIA
CRD#: 282765
UPLAND, CA
Past

November 9, 2020 - December 1, 2023

GRADIENT ADVISORS, LLC

RIA
CRD#: 152665
El Segundo, CA
Past

November 1, 1996 - April 20, 2004

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE

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
California
(5/1/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/31/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 10/31/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NA
NAUTICA ASSET MANAGEMENT LLC
NAUTICA ASSET MANAGEMENT LLC | RETIREMENT INCOME & BENEFITS SOLUTIONS LLC

CRD#: 282765 / SEC#:

Arizona
Registered Investment Advisory firm - (3/23/2023 Approved)
California
Registered Investment Advisory firm - (4/30/2024 Approved)
Maryland
Registered Investment Advisory firm - (1/6/2023 Approved)
Michigan
Registered Investment Advisory firm - (4/12/2016 Approved)
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Contact information

Main Address
480 N Canton Center Rd. Unit 87919, Canton, MI 48187
Mailing Address
Phone number
(734) 794-2775
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts22
AUM (Assets Under Management)$ 782,000

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

NAUTICA ASSET MANAGEMENT LLC

CRD#: 282765Upland, CA

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