Nathan K. Romero

ARKADIOS CAPITAL

Atlanta, GA 30305

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CRD#: 5222267

Professional summary

Nathan Kenneth Romero, who also goes by Nate Kenneth Romero, Nathan Kenneth Romero Mr., is a registered financial advisor currently at ARKADIOS CAPITAL located in Atlanta, Georgia and ARKAP MARKETS, LLC located in Denver, Colorado.

Nathan is registered as a RR (Registered Representative) and started their career in finance in 2006. Nathan has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nate Kenneth Romero | Nathan Kenneth Romero Mr.

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathan Kenneth 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®

None

Experience

Current

May 24, 2023 - Present

ARKADIOS CAPITAL

Office #1: 2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305

CRD#: 282710

Atlanta, GA

Current

May 7, 2024 - Present

ARKAP MARKETS, LLC

CRD#: 326313

DENVER, CO

Past

May 17, 2016 - June 5, 2023

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

March 25, 2013 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

CRD#: 145454

IRVINE, CA

Past

November 26, 2010 - October 11, 2012

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

IRVINE, CA

Past

March 12, 2007 - June 16, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

December 15, 2006 - June 16, 2009

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(12/3/2024)

Alaska
(11/14/2024)

Arizona
(6/12/2024)

Arkansas
(6/12/2024)

California
(6/4/2024)

Colorado
(5/24/2023)

Connecticut
(11/6/2024)

Delaware
(11/18/2024)

District of Columbia
(11/21/2024)

Florida
(8/8/2024)

Georgia
(5/31/2024)

Hawaii
(3/7/2025)

Idaho
(6/5/2024)

Illinois
(6/20/2024)

Indiana
(11/12/2024)

Iowa
(11/12/2024)

Kansas
(11/7/2024)

Kentucky
(11/15/2024)

Louisiana
(11/15/2024)

Maine
(11/13/2024)

Maryland
(12/23/2024)

Massachusetts
(5/31/2024)

Michigan
(11/6/2024)

Minnesota
(11/8/2024)

Mississippi
(11/7/2024)

Missouri
(11/26/2024)

Montana
(11/12/2024)

Nebraska
(11/13/2024)

New Hampshire
(11/20/2024)

New Jersey
(6/13/2024)

New Mexico
(11/18/2024)

New York
(6/10/2024)

North Carolina
(6/12/2024)

North Dakota
(11/25/2024)

Ohio
(11/4/2024)

Oklahoma
(11/5/2024)

Oregon
(11/21/2024)

Pennsylvania
(6/10/2024)

Puerto Rico
(8/1/2024)

Rhode Island
(11/13/2024)

South Carolina
(6/11/2024)

South Dakota
(11/7/2024)

Tennessee
(6/28/2024)

Texas
(6/10/2024)

Utah
(11/1/2024)

Vermont
(11/8/2024)

Virginia
(6/13/2024)

Washington
(10/31/2024)

West Virginia
(11/18/2024)

Wisconsin
(11/7/2024)

Wyoming
(11/14/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 5/7/2024

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 3/10/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 5/7/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARKAP MARKETS, LLC

ARKAP MARKETS | ARKAP MARKETS, LLC

CRD#: 326313 / SEC#: , 8-71132

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

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Contact information

Main Address

2827 Peachtree Road, Suite 510, Atlanta, GA 30305

Mailing Address

2827 Peachtree Road, Suite 510, Atlanta, GA 30305

Phone number

(404) 445-0035

Established

Georgia since 06/26/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ARKADIOS HOLDINGS, INC.	MEMBER
MCCOMB, MAX MICHAEL	CHIEF COMPLIANCE OFFICER	1347500
MILLER, NATALIE LANE	FINOP, POO, PFO	5627988
MILLICAN, DAVID YANCEY IV	CEO	2788060
ROMERO, NATHAN KENNETH	MANAGING DIRECTOR	5222267

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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Advisor Monitoring

Firm Stability Insights

Nathan K. Romero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nathan Kenneth Romero's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARKAP MARKETS, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

REALTY CAPITAL SECURITIES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2007

Series 63

Date: 1/30/2007

Series 99TO

Date: 5/7/2024

Series 79TO

Date: 3/10/2020

SIE

Date: 10/1/2018

Series 7

Date: 12/14/2006

Series 14

Date: 5/7/2024

Series 24

Date: 1/20/2024

FINRA

Current Firm

ARKAP MARKETS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ARKAP MARKETS, LLC

TRUST BUT VERIFY

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