Jerry Romano

FINANCIAL NORTHEASTERN SECURITIES

Fairfield, NJ 07004

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CRD#: 3240426

Professional summary

Jerry Romano, who also goes by Gerardo Carmelo Romano, is a registered financial professional currently at FINANCIAL NORTHEASTERN SECURITIES, INC. located in Fairfield, New Jersey.

Jerry is registered as a RR (Registered Representative) and started their career in finance in 2001. Jerry has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gerardo Carmelo Romano

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) - BD

Click below to view Jerry Romano's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 10, 2021 - Present

FINANCIAL NORTHEASTERN SECURITIES, INC.

Office #1: 100 Passaic Avenue, Fairfield, NJ 07004

RIA

CRD#: 17007

Fairfield, NJ

Past

April 5, 2018 - September 3, 2021

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 8, 2016 - August 23, 2017

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

TEANECK, NJ

Past

June 1, 2009 - September 2, 2016

MORGAN STANLEY

CRD#: 149777

JERSEY CITY, NJ

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

JERSEY CITY, NJ

Past

August 24, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(11/9/2021)

New York
(11/9/2021)

Ohio
(9/12/2021)

Exams

State Security Law Exam

Series 63

Date: 10/21/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINANCIAL NORTHEASTERN SECURITIES, INC.

FINANCIAL NORTHEASTERN SECURITIES, INC. | FNC INVESTMENTS CORPORATION

CRD#: 17007 / SEC#: , 8-34883

California

Registered Investment Advisory firm - SEC (8/11/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (2/28/2002 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/23/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

100 Passaic Avenue One Greenbrook Corporate Center, Fairfield, NJ 07004

Mailing Address

100 Passaic Avenue 100, Fairfield, NJ 07004

Phone number

(973) 882-9337

Established

New Jersey since 02/14/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ZAGE, JEFFREY P	CEO, PRESIDENT, GP	1286688
ZAGE, STEVEN MARTIN	VP, SEC	1314965
KISS, SANDRALIN JOSEPHINE	EXEC VP, COO, FINOP, CCO	1093671
MILLAHN, FLORENCE A	DIRECTOR OF OPERATIONS, ROSFP	2786661
MILSTEIN, BARRY MITCHELL	EVP	1632450

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Jerry Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerry Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

DAVID LERNER ASSOCIATES, INC.

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2016

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/22/2001

FINRA

Current Firm

FINANCIAL NORTHEASTERN SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FINANCIAL NORTHEASTERN SECURITIES, INC.

TRUST BUT VERIFY

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