AR
Ana E. Romero
ARAX ADVISORY PARTNERS
Austin, TX 78701
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CRD#: 6617498
AR
Ana Eugenia RomeroARAX ADVISORY PARTNERS
Professional summary
Ana Eugenia Romero is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Austin, Texas.
Ana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Ana has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
At a Glance
Always Fiduciary
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ana Eugenia Romero'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 13, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 133535
Austin, TX
Past
February 14, 2023 - July 17, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
Austin, TX
Past
April 3, 2018 - July 22, 2020
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SAN ANTONIO, TX
Past
June 2, 2017 - February 1, 2018
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
Past
September 22, 2016 - June 2, 2017
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
AUSTIN, TX
Past
March 24, 2016 - August 26, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
AUSTIN, 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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(7/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP, INC. | WELLTH PARTNER | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | NOVEN FINANCIAL GROUP | NORTE ADVISORS, LLC | KLEINHENZ & ASSOCIATES LTD. | GEORGINA ASSET MANAGEMENT, LLC | ENDURING WEALTH PARTNERS | CEDRUS LLC | AVERA CAPITAL WEALTH MANAGEMENT, LLC | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
730 17th Street Suite 107, Denver, CO 80202
Mailing Address
Phone number
(303) 633-5900
Established
Firm type
Fiscal year end
# of Employees
106
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 16,559 |
| AUM (Assets Under Management) | $ 8,960,126,874 |
Red Flags
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Company Information
ARAX ADVISORY PARTNERS
CRD#: 133535Austin, TX 78701TRUST BUT VERIFY
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