NR
Nicolas R. Romero
VOYA FINANCIAL ADVISORS
Minneapolis, MN 55401
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CRD#: 5131072
NR
Professional summary
Nicolas Ramon Romero, who also goes by Ramon Romero Nicolas, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Minneapolis, Minnesota.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Nicolas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ramon Romero Nicolas
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.
NAME OF ENTITY:Richfield Chamber of Commerce; No; PO Box 23446; Richfield; MN; 55423; Our mission at the Richfield (MN) Chamber of Commerce is to build community and economic prosperity in Richfield by promoting and representing business.; Board Member; 10/28/2022; 2; 1; Serve as a board member providing ideas and insight to best serve our community.|
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Ramon Romero's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicolas Ramon Romero's 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®
NoneExperience
Current
May 9, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 250 Marquette Avenue, Suite 900 Suite 900, Minneapolis, MN 55401RIA
BD
CRD#: 2882
Minneapolis, MN
Current
May 6, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 250 Marquette Avenue, Suite 900 Suite 900, Minneapolis, MN 55401RIA
BD
CRD#: 2882
Minneapolis, MN
Past
March 8, 2016 - May 10, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
EDINA, MN
Past
March 8, 2016 - May 10, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
EDINA, MN
Past
January 19, 2016 - March 21, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
BLOOMINGTON, MN
Past
June 14, 2012 - March 21, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
BLOOMINGTON, MN
Past
June 9, 2011 - November 7, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BLOOMINGTON, MN
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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.RR
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
RR
Minnesota(5/9/2019)
IAR
Minnesota(5/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
