JR
John P. Romney
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CRD#: 4361051
JR
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.
John Preston Romney was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2001. John had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 21, 2014 - December 31, 2021
LEVINE LEICHTMAN CAPITAL PARTNERS, LLC
RIA
CRD#: 140980
DALLAS, TX
Past
September 15, 2003 - October 15, 2004
COWEN SECURITIES, LP
BD
CRD#: 46834
BIRMINGHAM, MI
Past
June 20, 2001 - April 9, 2003
GIULIANI CAPITAL ADVISORS LLC
BD
CRD#: 111140
CHICAGO, IL
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".
LL
LEVINE LEICHTMAN CAPITAL PARTNERS, LLC
LEVINE LEICHTMAN CAPITAL PARTNERS, BV | LLCP-A GP, LLC ("RELYING ADVISOR") | LLCP-A CAYMAN GP, LLC ("RELYING ADVISOR") | LLCP-A ALT MANAGING MEMBER, LLC ("RELYING ADVISOR") | LLCP SBIC MANAGER, LLC ("RELYING ADVISOR") | LLCP SBIC GP, LLC ("RELYING ADVISOR") | LLCP PCS GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS V, GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS IV GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS III, LLC ("RELYING ADVISOR") | LLCP MENA, INC. ("RELYING ADVISOR") | LLCP LMM GP, LLC ("RELYING ADVISOR") | LLCP EUROPE, LLP | LLCP EUROPE USA GP, LLC ("RELYING ADVISOR") | LLCP EUROPE GP, L.P. ("RELYING ADVISOR") | LLCP DEEP VALUE GP, LLC ("RELYING ADVISOR") | LLCP CO-INVESTMENT MANAGER LLC ("RELYING ADVISOR") | LLCP CO-INVESTMENT GP, L.P. ("RELYING ADVISOR") | LLCP CALIFORNIA GROWTH GP, LLC ("RELYING ADVISOR") | LLCP CALIFORNIA EQUITY PARTNERS II, L.P. ("RELYING ADVISOR") | LLCP ADVISORS, LLC ("RELYING ADVISOR") | LEVINE LEICHTMAN CAPITAL PARTNERS, LTD. | LEVINE LEICHTMAN CAPITAL PARTNERS, LLC | LEVINE LEICHTMAN CAPITAL PARTNERS, INC.
CRD#: 140980 / SEC#: 801-66987
RIA
Registered Investment Advisory firm - (7/10/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LL
LEVINE LEICHTMAN CAPITAL PARTNERS, LLC
LEVINE LEICHTMAN CAPITAL PARTNERS, BV | LLCP-A GP, LLC ("RELYING ADVISOR") | LLCP-A CAYMAN GP, LLC ("RELYING ADVISOR") | LLCP-A ALT MANAGING MEMBER, LLC ("RELYING ADVISOR") | LLCP SBIC MANAGER, LLC ("RELYING ADVISOR") | LLCP SBIC GP, LLC ("RELYING ADVISOR") | LLCP PCS GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS V, GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS IV GP, LLC ("RELYING ADVISOR") | LLCP PARTNERS III, LLC ("RELYING ADVISOR") | LLCP MENA, INC. ("RELYING ADVISOR") | LLCP LMM GP, LLC ("RELYING ADVISOR") | LLCP EUROPE, LLP | LLCP EUROPE USA GP, LLC ("RELYING ADVISOR") | LLCP EUROPE GP, L.P. ("RELYING ADVISOR") | LLCP DEEP VALUE GP, LLC ("RELYING ADVISOR") | LLCP CO-INVESTMENT MANAGER LLC ("RELYING ADVISOR") | LLCP CO-INVESTMENT GP, L.P. ("RELYING ADVISOR") | LLCP CALIFORNIA GROWTH GP, LLC ("RELYING ADVISOR") | LLCP CALIFORNIA EQUITY PARTNERS II, L.P. ("RELYING ADVISOR") | LLCP ADVISORS, LLC ("RELYING ADVISOR") | LEVINE LEICHTMAN CAPITAL PARTNERS, LTD. | LEVINE LEICHTMAN CAPITAL PARTNERS, LLC | LEVINE LEICHTMAN CAPITAL PARTNERS, INC.
CRD#: 140980 / SEC#: 801-66987
RIA
Registered Investment Advisory firm - (7/10/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
345 N. Maple Drive Suite 300, Beverly Hills, CA 90210-5183
Mailing Address
Phone number
(310) 237-7594
Established
Firm type
Fiscal year end
# of Employees
65
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 55 |
| AUM (Assets Under Management) | $ 10,874,906,055 |
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.
