ER
Emanuel A. Romero-vicini
VISION INVESTMENT ADVISORS
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 2887156
ER
Professional summary
Emanuel Andres Romero-vicini, who also goes by Andres Romero, Emanuel Andres Romero, Manny Romero, Emanuel Andrew Romero-vicini, is a registered financial advisor currently at VISION INVESTMENT ADVISORS, LLC located in Stamford, Connecticut and VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Emanuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Emanuel has worked at 17 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andres Romero | Emanuel Andres Romero | Manny Romero | Emanuel Andrew Romero-Vicini
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.
Resilience Investment Advisory Compliance Consultants (IACC). CEO. The Company is located at 314 Boundary Ave Red Lion PA. Resilience IACC provides independent advisors RIA creation services and general compliance consulting. 5 to 10 hours a month is devoted to the business 0 during trading hours. Start Date October 2019. Resilience IACC and Vision Financial Markets are separate entities.
CRS (Client Relationship Summary) - RIA
Click below to view Emanuel Andres Romero-vicini'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
January 22, 2020 - Present
VISION INVESTMENT ADVISORS, LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901RIA
CRD#: 109621
STAMFORD, CT
Current
January 22, 2020 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901BD
CRD#: 142271
Stamford, CT
Current
January 22, 2020 - Present
VISION BROKERAGE SERVICES, LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901BD
CRD#: 47927
Stamford, CT
Past
May 3, 2016 - July 5, 2019
ESSEX FINANCIAL SERVICES, INC.
RIA
CRD#: 127549
ESSEX, CT
Past
May 3, 2016 - July 5, 2019
ESSEX FINANCIAL SERVICES, INC.
BD
CRD#: 127549
ESSEX, CT
Past
May 2, 2014 - March 30, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
MIDDLETOWN, CT
Past
April 23, 2014 - March 30, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MIDDLETOWN, CT
Past
April 22, 2014 - July 6, 2015
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
BD
CRD#: 148024
Hartford, CT
Past
April 4, 2014 - April 14, 2014
NORTHSTAR WEALTH PARTNERS LLC
RIA
CRD#: 169409
WEST HARTFORD, CT
Past
November 21, 2011 - November 21, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
WEST HARTFORD, CT
Past
November 21, 2011 - April 17, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WEST HARTFORD, CT
Past
August 8, 2011 - September 29, 2011
SILVER OAK SECURITIES, INCORPORATED
BD
CRD#: 46947
WETHERSFIELD, CT
Past
December 10, 2009 - February 19, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MIDDLETOWN, CT
Past
January 31, 2003 - February 19, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MIDDLETOWN, CT
Past
May 15, 2002 - August 5, 2002
WORLDCO, L.L.C.
BD
CRD#: 24673
NEW YORK, NY
Past
January 7, 2002 - June 5, 2002
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
April 5, 2001 - May 21, 2001
EDGETRADE LLC
BD
CRD#: 42071
JERSEY CITY, NJ
Past
July 7, 1998 - March 28, 2001
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
September 2, 1997 - December 12, 1997
R.D. WHITE & CO., INC.
BD
CRD#: 7011
NEW YORK, NY
Past
June 9, 1997 - July 8, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
BD
CRD#: 35476
NEW YORK, NY
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".
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)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
Connecticut(1/22/2020)
IAR
Connecticut(1/22/2020)
RR
Pennsylvania(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/3/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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 EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, 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
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
Phone number
(203) 388-2700
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 117,879,479 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/24/2023 | ||
| 11/28/2022 |
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.
