Louis A. Romero

OSAIC WEALTH

SAN RAMON, CA 94583

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CRD#: 5119492

Professional summary

Louis Alonso Romero III, who also goes by Louis Alonso Romero, Louis Romero, is a registered financial advisor currently at OSAIC WEALTH, INC. located in San Ramon, California.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Louis has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Louis Alonso Romero | Louis Romero

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) LOUIS ROMERO, 3000 EXECUTIVE PARKWAY, SUITE 400 & 500, SAN RAMON, CA 94583 CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFER DISABILITY, LONG TERM CARE AND TRADITIONAL LIFE INSURANCE; FIXED ANNUITIES START DATE: 11/2016 HOURS PER MONTH: 100 HOURS PER MONTH DURING TRADING HOURS: 60 2)LOUIS ROMERO III, DALY CITY, CA 94015 CATEGORY: REAL ESTATE RENTAL INVESTMENT RELATED: YES TITLE: OWNER DUTIES: OWNS AND MAINTAINS RENTAL PROPERTY. START DATE: 9/1/24 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 0 3) SENTINEL WEALTH STRATEGIES POSITION: Owner/operator NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2025 ADDRESS: 3000 Executive Parkway, Suite 400, San Ramon CA 94583, United States DESCRIPTION: Financial Planning, Annuity Sales, Managing client Accounts

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Alonso Romero III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Louis Alonso Romero III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 6627

WELLESLEY, MA

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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.

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

California
(1/24/2025)

IAR

California
(1/24/2025)

Colorado
(1/24/2025)

Florida
(6/9/2025)

Hawaii
(1/24/2025)

Idaho
(1/24/2025)

Nevada
(1/24/2025)

Oregon
(1/24/2025)

Washington
(1/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/19/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Firm Stability Insights

Louis A. Romero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Alonso Romero III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Louis Alonso Romero III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FA, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

WADDELL & REED

WADDELL & REED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2006

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2006

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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