Christopher-paul Romo
KESTRA ADVISORY SERVICES
Davis, CA 95618
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CRD#: 5162290
Professional summary
Christopher-paul Romo, CFP®, who also goes by Christopher Paul Romo, Paul Romo, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Davis, California and KESTRA INVESTMENT SERVICES, LLC located in Davis, California.
Christopher-paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher-paul has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Paul Romo | Paul Romo
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.
FOUNDER AND PRESIDENT OF IMPACT FINANCIAL ADVISORS(DBA, AS OF 12/1/2012), A FINANCIAL SERVICES ORGANIZATION. MEMBER OF ADVISORY BOARD OF THE UNITED BROKERS INSURANCE AGENCY, INC. HELPING TO REVIEW AND CONSULT ON ISSUES FACED BY CERTAIN EMPLOYERS THAT SPONSOR GROUP RETIREMENT PLANS AND OTHER BENEFITS. NO COMPENSATION IS RECEIVED IN THIS ROLE. INSURANCE AGENT LICENSED TO SELL TO LIFE, HEALTH, MEDICAL, DENTAL, VISION, DISABILITY AND LONG TERM CARE INSURANCE. VOLUNTEER - CHAMBER AMBASSADOR WITH DAVIS CHAMBER OF COMMERCE SINCE 2011. PROMOTE BENEFITS OF CHAMBER MEMBERSHIP TO LOCAL BUSINESS. NO COMPENSATION RECEIVED. APPROX 5 HOURS/MONTH. Mutual of Omaha Mortgage Lead Incentive Program; not investment related. Less than 1/hr per week. Submit qualified forward/reverse mortgage leads to Mutual of Omaha Mortgage when a customer indicates a potential need for these services. Business Name: KESTRA ADVISORY SERVICES, LLC. POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 100 START DATE: 05/05/2023 ADDRESS: 5707 Southwest Pkwy, Bldg 2 Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: IMPACT FINANCIAL ADVISORS POSITION: President/Founder NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 100 START DATE: 12/01/2012 ADDRESS: 2827 Spafford Street, Suite B2, Davis CA 95618, United States DESCRIPTION: RR
CRS (Client Relationship Summary) - RIA
Click below to view Christopher-paul Romo'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®
CFP®
Start date: 2018
Experience
Current
May 8, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2827 Spafford Street Suite B2, Davis, CA 95618RIA
CRD#: 283330
Davis, CA
Current
May 8, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 712 5th Street Suite A, Davis, CA 95616BD
CRD#: 42046
Davis, CA
Past
April 22, 2008 - March 24, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
DAVIS, CA
Past
March 4, 2008 - March 24, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
DAVIS, CA
Past
June 28, 2006 - February 29, 2008
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
VAN NUYS, CA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Arizona(5/8/2023)
IAR
California(5/8/2023)
RR
California(8/3/2023)
RR
District of Columbia(5/8/2023)
RR
Idaho(5/8/2023)
RR
Massachusetts(8/21/2023)
RR
Nebraska(5/8/2023)
RR
Nevada(5/8/2023)
RR
North Carolina(5/9/2023)
RR
Oregon(5/8/2023)
RR
Texas(5/8/2023)
IAR
Texas(5/8/2023)
RR
Washington(5/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/31/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
