DR
David W. Romero
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
Scottsdale, AZ 85260
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CRD#: 3199988
DR
Professional summary
David William Romero is a registered financial advisor currently at HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS located in Scottsdale, Arizona and LPL FINANCIAL LLC located in Scottsdale, Arizona.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 01/13/2017 - HOUSEHOLDER GROUP FINANCIAL ADVISORS/ NON-VARIABLE INSURANCE/ 10%/ SCOTTSDALE, AZ
2. 01/13/2017 - HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ SCOTTSDALE, AZ.
3. 2/15/2017 - Householder Group Estate & Retirement Specialists - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 01/13/2017 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Householder Group Estate & Retirement Specialists, an independent investment advisor firm. I started this business activity in 01/13/2017. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
4. 11/06/2017 - Highroads Private Wealth Management - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 04/07/2017 - 1 Hours Per Month/0 During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view David William Romero'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 23, 2017 - Present
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
Office #1: 8985 E. Bell Road, Scottsdale, AZ 85260RIA
CRD#: 169045
Scottsdale, AZ
Current
January 13, 2017 - Present
LPL FINANCIAL LLC
Office #1: 8985 East Bell Road, Scottsdale, AZ 85260RIA
BD
CRD#: 6413
Scottsdale, AZ
Past
January 3, 2011 - January 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SCOTTSDALE, AZ
Past
January 3, 2011 - January 19, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SCOTTSDALE, AZ
Past
August 16, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PHOENIX, AZ
Past
August 13, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PHOENIX, AZ
Past
October 23, 2009 - August 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCOTTSDALE, AZ
Past
October 23, 2009 - August 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCOTTSDALE, AZ
Past
September 30, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
FOUNTAIN HILLS, AZ
Past
September 20, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
FOUNTAIN HILLS, AZ
Past
January 19, 2005 - January 25, 2005
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
January 19, 2005 - January 25, 2005
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 19, 2005 - September 16, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
January 14, 2004 - September 2, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 10, 2001 - August 5, 2003
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
September 27, 1999 - September 6, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
April 8, 1999 - July 29, 1999
SIMMERS CAPITAL MANAGEMENT CORPORATION
BD
CRD#: 29960
PHOENIX, AZ
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".
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
Registered Investment Advisory firm - (9/20/2013 Approved)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
Arizona(1/13/2017)
IAR
Arizona(1/24/2017)
RR
California(4/4/2017)
RR
Colorado(1/13/2017)
RR
Florida(3/30/2022)
RR
Idaho(10/10/2018)
RR
Illinois(10/10/2018)
RR
Michigan(10/10/2018)
RR
Minnesota(1/13/2017)
RR
New Jersey(1/13/2017)
RR
New Mexico(1/13/2017)
RR
Oregon(10/1/2018)
RR
Pennsylvania(1/28/2021)
RR
South Carolina(9/30/2022)
RR
Texas(1/13/2017)
IAR
Texas(12/7/2020)
RR
Virginia(4/9/2020)
RR
Wisconsin(10/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HG
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
AMERICAN FINANCIAL SERVICES | TAX AND INVESTMENT ADVOCATES | STREFF FINANCIAL GROUP | RUSSO FINANCIAL MANAGEMENT | RIDLEY WEALTH STRATEGIES | NICKELS WEALTH MANAGEMENT | MONEY AND MINDFULNESS | MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES | LUNCEFORD PRIVATE WEALTH MANAGEMENT | L.H. NICKELS WEALTH MANAGEMENT | KIDWELL & COMPANY, INC | KAVE FAMILY FINANCIAL | KAVE FAMILY INSURANCE | IRA SPECIALISTS | HOUSEHOLDER GROUP OF TEXAS | HOUSEHOLDER GROUP OF ORANGE COUNTY | HOUSEHOLDER GROUP OF NEW MEXICO | HOUSEHOLDER GROUP OF DENVER | HOUSEHOLDER GROUP OF COLORADO SPRINGS | HOUSEHOLDER GROUP FINANCIAL ADVISORS | HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC | HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS | HOUSEHOLDER GROUP DFW | HOUSEHOLDER GROUP COACHELLA VALLEY | HOUSEHOLDER GROUP ANTELOPE VALLEY | HOUSEHOLDER FINANCIAL ADVISORS LLC | HILL FINANCIAL PLANNING | HERITAGE WEALTH MANAGEMENT | CICHON FINANCIAL SERVICES
CRD#: 169045 / SEC#: 801-78565
RIA
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Contact information
Main Address
8985 E. Bell Road, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 604-0600
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045Scottsdale, AZ 85260TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
