Frank Romano
Professional Summary
Frank Romano is a registered financial advisor currently at AMERX LLC located in New York, New York. Frank is registered as a RR (Registered Representative) and started their career in finance in 2018. Frank has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX LLC | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.
Contact Information
Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038Phone Number
(212) 306-2700Established
New York since 06/15/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jul 2018About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Frank Romano's CRS (Customer Relationship Summary).
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