PR
Patrick C. Romero
MADISON AVENUE SECURITIES
RUIDOSO, NM 88345
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CRD#: 6458940
PR
Professional summary
Patrick Christopher Romero Jr, who also goes by Patrick Christopher Romero Jr, Patrick Christopher Romero, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Ruidoso, New Mexico.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Christopher Romero Jr | Patrick Christopher 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.
NAME: MIRAU CAPITAL MANAGEMENT, INC.; INV RELATED:YES; ADDRESS:1860 SUDDERTH DRIVE RUIDOSO, NM 88345; NATURE:INSURANCE/FIXED ANNUITY SALES + SERVICE; POSITION:AGENT; START DATE:07/2018; HOURS/MONTH:100; TRADING HOURS/MONTH:100; DUTIES:INSURANCE/FIXED ANNUITY SALES + SERVICE
NAME: ADVISORS EXCEL; INV RELATED:YES; ADDRESS:2950 SW MCCLURE RD, TOPEKA, KS 66614; NATURE:INSURANCE PRODUCTS OFFERED THROUGH AE, CREATIVE SERVICES PROVIDED BY AE; POSITION:INSURANCE AGENT; START DATE:07/2018; HOURS/MONTH:160; TRADING HOURS/MONTH:160; DUTIES:INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Christopher Romero Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Christopher Romero Jr'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®
NoneExperience
Current
July 16, 2018 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1860 Sudderth Drive, Ruidoso, NM 88345Office #2: 7600 Jefferson Ne Ste 25, Albuquerque, NM 87109Office #3: 6070 Gateway Blvd E Suite 210, El Paso, TX 79905RIA
BD
CRD#: 23224
RUIDOSO, NM
Current
July 16, 2018 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1860 Sudderth Drive, Ruidoso, NM 88345Office #2: 7600 Jefferson Ne Ste 25, Albuquerque, NM 87109Office #3: 6070 Gateway Blvd E Suite 210, El Paso, TX 79905RIA
BD
CRD#: 23224
RUIDOSO, NM
Past
May 4, 2018 - July 17, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
El Paso, TX
Past
July 14, 2015 - July 17, 2018
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
El Paso, TX
Past
May 1, 2015 - July 7, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
EL PASO, TX
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arkansas(8/5/2021)
RR
Missouri(8/4/2022)
RR
New Mexico(7/16/2018)
IAR
New Mexico(8/29/2018)
RR
Texas(7/16/2018)
IAR
Texas(7/16/2018)
RR
Washington(5/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Ruidoso, NM 88345TRUST BUT VERIFY
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