James M. Romera

Some features on this profile are disabled

CRD#: 2870810

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.

James Michael Romera, who also goes by Jim Michael Romera, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1997. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Michael Romera

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 25, 2015 - December 31, 2017

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557

North Salt Lake, UT

Past

September 30, 2014 - June 28, 2018

ALLEGIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 157314

NORTH SALT LAKE CITY, UT

Past

April 11, 2012 - September 5, 2014

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

NORTH SALT LAKE, UT

Past

April 11, 2012 - September 5, 2014

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

NORTH SALT LAKE, UT

Past

November 2, 2007 - April 11, 2012

PAULSON INVESTMENT COMPANY LLC

RIA

CRD#: 5670

BOUNTIFUL, UT

Past

November 2, 2007 - April 11, 2012

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

BOUNTIFUL, UT

Past

July 6, 2005 - November 23, 2007

INVESTMENT MANAGEMENT CORPORATION

RIA

CRD#: 37196

BOUNTIFUL, UT

Past

April 2, 2002 - November 23, 2007

INVESTMENT MANAGEMENT CORPORATION

CRD#: 37196

BOUNTIFUL, UT

Past

November 25, 1998 - April 1, 2002

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 23, 1997 - December 9, 1998

INTERMOUNTAIN FINANCIAL SERVICES, INC.

CRD#: 15386

HEBER CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/3/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALLEGIS INVESTMENT SERVICES, LLC

CRD#: 168557 / SEC#: , 8-69318

Terminated by SEC on 07/02/2019

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Idaho since 05/29/2013

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MILLER, CHRISTOPHER MICHAEL	CEO/MEMBER	3065670
BOWEN, HEATH SHAYNE	MEMBER	4824684
COMPAGNO, STACI ANN	CHIEF COMPLIANCE OFFICER	2824392
PIERCE, BRIAN CHRISTOPHER	CFO/FINOP	6252375

Disclosures

Arbitration

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Romera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLEGIS INVESTMENT ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

PAULSON INVESTMENT COMPANY LLC

PAULSON INVESTMENT COMPANY LLC

INVESTMENT MANAGEMENT CORPORATION

INVESTMENT MANAGEMENT CORPORATION

EQUITY SERVICES, INC.

INTERMOUNTAIN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2005

Series 63

Date: 4/9/1997

SIE

Date: 12/31/2017

Series 7

Date: 5/3/1999

Series 6

Date: 10/20/1997

Current Firm

ALLEGIS INVESTMENT SERVICES, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLEGIS INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors