Carlos X. 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.
Carlos X Romano, who also goes by Carlos Xolocotzi Romano, Carlos X Romano, Carlos Xolocotzi, Carlos Xolocotzi-romano, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1999. Carlos had worked at 24 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
November 27, 2024 - July 16, 2025
CAPULENT LLC
November 28, 2023 - November 25, 2024
TRITON PACIFIC SECURITIES, LLC
August 18, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
August 18, 2022 - March 20, 2023
CETERA INVESTMENT SERVICES LLC
August 18, 2022 - March 20, 2023
CETERA FINANCIAL SPECIALISTS LLC
August 18, 2022 - March 20, 2023
CETERA ADVISORS LLC
August 18, 2022 - March 20, 2023
CETERA WEALTH SERVICES, LLC
September 24, 2021 - December 10, 2021
LPL FINANCIAL LLC
November 12, 2019 - June 8, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
January 10, 2019 - July 17, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
March 29, 2016 - June 20, 2017
SHOPOFF SECURITIES, INC.
January 10, 2012 - December 17, 2014
GRIFFIN CAPITAL SECURITIES, LLC
July 27, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
September 16, 2009 - October 25, 2010
LIGHTSTONE SECURITIES, LLC
December 4, 2008 - April 14, 2009
CABIN SECURITIES, INC.
February 22, 2008 - September 26, 2008
DBSI SECURITIES CORPORATION
August 3, 2007 - February 7, 2008
DBSI SECURITIES CORPORATION
March 30, 2006 - July 31, 2007
PACIFIC CORNERSTONE CAPITAL INCORPORATED
March 31, 2005 - October 10, 2005
WOODBURY FINANCIAL SERVICES, INC.
March 19, 2004 - December 9, 2004
QUEST CAPITAL STRATEGIES, INC.
September 30, 2003 - January 6, 2004
GREAT NORTHERN FINANCIAL SECURITIES, INC.
January 18, 2001 - November 7, 2003
WAMU INVESTMENTS, INC.
July 19, 2000 - March 29, 2001
TD AMERITRADE, INC.
January 5, 2000 - February 29, 2000
AMERIPRISE ADVISOR SERVICES, INC.
March 12, 1999 - November 29, 1999
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPULENT LLC
CRD#: 155155 / SEC#: , 8-68699
Contact information
FINRA licenses (47 States and Territories)
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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