John D. Romero
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 Douglas Romero JR, who also goes by John Douglas Romero, John Romero, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2010. John had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2025 - January 7, 2026
AMERITAS ADVISORY SERVICES, LLC
July 2, 2025 - January 7, 2026
AMERITAS INVESTMENT COMPANY, LLC
July 12, 2024 - May 6, 2025
EQUITY SERVICES, INC.
July 12, 2024 - May 6, 2025
EQUITY SERVICES, INC.
February 21, 2024 - May 17, 2024
PRINCIPAL SECURITIES, INC.
February 19, 2024 - May 17, 2024
PRINCIPAL SECURITIES, INC.
February 23, 2022 - February 14, 2024
MML INVESTORS SERVICES, LLC
February 11, 2022 - February 14, 2024
MML INVESTORS SERVICES, LLC
October 21, 2015 - January 6, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
October 21, 2015 - January 6, 2022
THRIVENT INVESTMENT MANAGEMENT INC.
March 13, 2015 - October 20, 2015
EAGLE STRATEGIES LLC
August 20, 2010 - October 19, 2015
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
