Randy M. Romero
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.
Randy Mitchell Romero was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1980. Randy had worked at 3 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 1989 - December 3, 1991
MOUNTAIN STATES INVESTMENTS, INC.
May 15, 1986 - October 30, 1989
CONSOLIDATED INVESTMENT SERVICES, INC.
April 28, 1986 - June 13, 1986
MOUNTAIN STATES INVESTMENTS, INC.
August 1, 1983 - May 8, 1986
CONSOLIDATED INVESTMENT SERVICES, INC.
December 7, 1982 - August 26, 1983
CETERA ADVISORS LLC
January 8, 1980 - January 10, 1983
CONSOLIDATED INVESTMENT SERVICES, INC.
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
Series 1
Date: 12/28/1979
Registered Representative ExaminationCurrent Firm
MOUNTAIN STATES INVESTMENTS, INC.
CRD#: 7881 / SEC#: , 8-34288
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| 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.
