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AR

Andrew J. Romero

GT SECURITIES
Los Angeles, CA 90094
Some features on this profile are disabled
CRD#: 5947219
AR

Professional summary

Andrew Joseph Romero, who also goes by Andrew J Romero, Andrew Joseph Romero, Andrew Romero, is a registered financial professional currently at GT SECURITIES, INC. located in Los Angeles, California.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 8 firms and has passed the Series 66, Series 82TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew J Romero | Andrew Joseph Romero | Andrew 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Joseph Romero's CRS (Customer Relationship Summary).
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

June 27, 2025 - Present

GT SECURITIES, INC.

Office #1: 12130 Millennium Dr Suite 300, Los Angeles, CA 90094
BD
CRD#: 116012
Los Angeles, CA
Past

August 7, 2024 - January 16, 2025

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

June 17, 2022 - March 18, 2023

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

June 24, 2021 - July 6, 2022

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

June 29, 2020 - June 22, 2021

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

April 20, 2019 - October 29, 2019

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

October 23, 2014 - October 19, 2017

OBERON SECURITIES, LLC

BD
CRD#: 132598
NEW YORK, NY
Past

February 3, 2014 - November 3, 2014

WYNSTON HILL CAPITAL, LLC

BD
CRD#: 103811
BRANDON, SD
Past

April 13, 2012 - November 30, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

December 15, 2011 - November 30, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 17, 2011 - September 20, 2011

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
WHITE PLAINS, NY

State Registrations and Notice Filings

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

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
California
(6/27/2025)
RR
New Mexico
(6/27/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/12/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/16/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GT SECURITIES, INC.
GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
12130 Millennium Dr Suite 300, Los Angeles, CA 90094
Mailing Address
12130 Millennium Dr, Los Angeles, CA 90094
Phone number
(310) 846-5004
Established
California since 12/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTHINK, INC.PARENT CORPORATION
MUELLER, MICHELLECHIEF COMPLIANCE OFFICER6707697
TURO, JAMES STEVENMANAGING DIRECTOR2083402

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.

Company Information

GT SECURITIES, INC.

CRD#: 116012Los Angeles, CA 90094

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