Dominic Romano
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.
Dominic Romano was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2000. Dominic had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2014 - June 12, 2018
LOOP CAPITAL MARKETS LLC
July 23, 2013 - April 14, 2014
KEPLER CAPITAL MARKETS, INC.
February 16, 2012 - April 17, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
May 14, 2007 - July 23, 2013
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
September 12, 2006 - January 10, 2008
CREDIT AGRICOLE SECURITIES (USA) INC.
July 23, 2001 - March 1, 2004
NEONET SECURITIES, INC.
December 8, 2000 - July 12, 2001
HSBC SECURITIES (USA) INC.
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
Series 55
Date: 10/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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