Frederic V. 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.
Frederic Victor Romano, who also goes by Frederic V Romano, was a registered financial professional .
Frederic is a previously registered financial professional and started their career in finance in 1970. Frederic had worked at 14 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2001 - August 18, 2009
INTL FCSTONE CREDIT TRADING LLC
August 15, 2000 - August 23, 2000
MARK BOYAR & COMPANY, INC.
August 15, 2000 - August 6, 2001
DEBTTRADERS, INC.
March 17, 1997 - April 3, 1998
BNY CAPITAL MARKETS INC.
November 15, 1994 - November 20, 1995
NATWEST SECURITIES CORPORATION
February 23, 1994 - October 13, 1994
TUCKER ANTHONY INCORPORATED
November 17, 1992 - February 28, 1994
OPPENHEIMER & CO. INC.
April 22, 1991 - October 9, 1992
CITATION FINANCIAL GROUP, L.P.
October 19, 1988 - January 21, 1991
PRUDENTIAL EQUITY GROUP, LLC
June 5, 1980 - March 15, 1988
PERSHING LLC
October 23, 1978 - October 13, 1979
MORGAN STANLEY DW INC.
November 2, 1976 - August 6, 1978
PERSHING LLC
September 2, 1974 - November 2, 1976
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
February 20, 1973 - March 20, 1974
WINDSOR SECURITIES, INC.
July 31, 1970 - July 8, 1972
SALOMON BROTHERS 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 1
Date: 8/25/1969
Registered Representative ExaminationF04
Date: 2/7/1973
Financial Principal ExaminationSeries 00
Date: 2/5/1973
General Securities Principal ExaminationCurrent Firm
INTL FCSTONE CREDIT TRADING LLC
CRD#: 41025 / SEC#: , 8-49291
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
