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Felix O. Romero

Some features on this profile are disabled
CRD#: 2878080
FR

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.

Felix Oscar Romero was a registered financial professional .

Felix is a previously registered financial professional and started their career in finance in 1997. Felix had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 28, 2000 - September 7, 2000

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

October 26, 1998 - June 11, 1999

TRADEWAY SECURITIES GROUP, INC.

BD
CRD#: 29794
CARLSBAD, CA
Past

July 2, 1997 - November 17, 1997

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT

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
RR
Series 63
Date: 5/22/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/1997
General Securities Representative Examination

Current Firm

IC
INTL CUSTODY & CLEARING SOLUTIONS INC.
INTL CUSTODY & CLEARING SOLUTIONS INC. | STERNE AGEE CLEARING INC. | STERNE AGEE CLEARING INC | STERNE AGEE CLEARING | STERNE AGEE CAPITAL MARKETS, INC. | SAL FINANCIAL SERVICES, INC. | SAL FINANCIAL SERVICES

CRD#: 23952 / SEC#: , 8-40771

BD
Terminated by SEC on 09/03/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTL FCSTONE INC.100% OWNER
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HARROD, PATRICIA MARIEDIRECTOR6180887
LYON, CHARLES MARTINCHIEF EXECUTIVE OFFICER4000852
NGUYEN, XUONG THODIRECTOR2249867
O'CONNOR, SEAN MICHAELDIRECTOR2534352
SEPHTON, BRIAN TRIGGERDIRECTOR4141441
TROUT, RONALD CAREYCHIEF COMPLIANCE OFFICER2947546
WAGSTAFF, CONNER FRED IIICFO/TREASURER/FINOP1427591

Disclosures

Regulatory Event2

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

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

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