LR
Luis R. Romero
ADP BROKER-DEALER
Allentown, PA 18101
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CRD#: 6925265
LR
Professional summary
Luis Ray Romero, who also goes by Luis Ray Romero, Luis Romero, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Allentown, Pennsylvania.
Luis is registered as a RR (Registered Representative) and started their career in finance in 2018. Luis has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Luis Ray Romero | Luis 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.
CRS (Client Relationship Summary) - BD
Click below to view Luis Ray 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
June 14, 2023 - Present
ADP BROKER-DEALER, INC.
Office #1: 740 Hamilton Blvd., Allentown, PA 18101BD
CRD#: 37693
Allentown, PA
Past
October 20, 2021 - March 16, 2022
ALLY INVEST ADVISORS
RIA
CRD#: 170301
Tucson, AZ
Past
August 6, 2021 - March 16, 2022
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
CHARLOTTE, NC
Past
April 23, 2021 - July 13, 2021
MORGAN STANLEY
RIA
CRD#: 149777
Gilbert, AZ
Past
February 19, 2021 - July 13, 2021
MORGAN STANLEY
BD
CRD#: 149777
Gilbert, AZ
Past
May 30, 2018 - July 23, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TUCSON, AZ
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
Alabama(7/3/2023)
RR
Alaska(7/17/2023)
RR
Arizona(6/16/2023)
RR
Arkansas(7/13/2023)
RR
California(7/5/2023)
RR
Colorado(7/6/2023)
RR
Connecticut(7/3/2023)
RR
Delaware(7/18/2023)
RR
District of Columbia(7/6/2023)
RR
Florida(7/5/2023)
RR
Georgia(7/3/2023)
RR
Hawaii(10/2/2023)
RR
Idaho(7/3/2023)
RR
Illinois(7/6/2023)
RR
Indiana(8/17/2023)
RR
Iowa(7/3/2023)
RR
Kansas(7/3/2023)
RR
Kentucky(7/11/2023)
RR
Louisiana(7/5/2023)
RR
Maine(7/4/2023)
RR
Maryland(7/5/2023)
RR
Massachusetts(9/11/2023)
RR
Michigan(7/5/2023)
RR
Minnesota(7/3/2023)
RR
Mississippi(7/3/2023)
RR
Missouri(7/3/2023)
RR
Montana(7/3/2023)
RR
Nebraska(7/3/2023)
RR
Nevada(7/6/2023)
RR
New Hampshire(7/6/2023)
RR
New Jersey(7/3/2023)
RR
New Mexico(7/3/2023)
RR
New York(7/1/2023)
RR
North Carolina(7/7/2023)
RR
North Dakota(7/3/2023)
RR
Ohio(7/2/2023)
RR
Oklahoma(7/10/2023)
RR
Oregon(7/3/2023)
RR
Pennsylvania(7/3/2023)
RR
Rhode Island(7/7/2023)
RR
South Carolina(7/5/2023)
RR
South Dakota(7/5/2023)
RR
Tennessee(7/5/2023)
RR
Texas(7/1/2023)
RR
Utah(7/3/2023)
RR
Vermont(7/7/2023)
RR
Virginia(7/1/2023)
RR
Washington(6/30/2023)
RR
West Virginia(7/6/2023)
RR
Wisconsin(7/6/2023)
RR
Wyoming(7/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/19/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AB
ADP BROKER-DEALER, INC.
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Adp Boulevard, Roseland, NJ 07068-1786
Mailing Address
71 Hanover Road Ms - 580, Florham Park, NJ 07932
Phone number
(973) 712-2316
Established
New Jersey since 07/12/1994
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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
ADP BROKER-DEALER, INC.
CRD#: 37693Allentown, PA 18101TRUST BUT VERIFY
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