Sylvia Romo
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.
Sylvia Romo, who also goes by Sylvia S Romo, Sylvia Sepulveda, was a registered financial professional .
Sylvia is a previously registered financial professional and started their career in finance in 2013. Sylvia had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2017 - November 17, 2017
TEAMWORK FINANCIAL ADVISORS, LLC
July 3, 2013 - February 2, 2015
INTERCONTINENTAL ASSET MANAGEMENT GROUP, LTD.
April 10, 2013 - February 2, 2015
INTERCONTINENTAL WEALTH ADVISORS, LLC
Primary Firm SEC Registration
TEAMWORK FINANCIAL ADVISORS, LLC
CRD#: 165237 / SEC#: 801-114801
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
TEAMWORK FINANCIAL ADVISORS, LLC
CRD#: 165237 / SEC#: 801-114801
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,253 |
| AUM (Assets Under Management) | $ 800,455,586 |
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.
