Jose L. Romero
Professional summary
Jose Luis Romero, who also goes by John Luis Romero, is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in White Plains, New York.
Jose is registered as a RR (Registered Representative) and started their career in finance in 2000. Jose has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 24, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jose Luis Romero's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 7, 2010 - Present
DAVID LERNER ASSOCIATES, INC.
Office #1: 599 West Hartsdale Avenue, White Plains, NY 10607October 20, 2004 - January 27, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2000 - October 20, 2004
QUICK & REILLY, INC.
June 9, 2000 - August 25, 2000
HAPOALIM 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
(7/7/2010)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 55
Date: 4/10/2002
Limited Representative-Equity Trader ExamFINRA
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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