Thomas J. Romano
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.
Thomas John Romano was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2012 - March 28, 2018
ARGENTIS ADVISORS, INC.
September 7, 2011 - August 2, 2012
SECUREVEST FINANCIAL GROUP
May 2, 2011 - March 28, 2018
SECUREVEST FINANCIAL GROUP
May 8, 2007 - April 19, 2011
HIGHLANDER CAPITAL MANAGEMENT LLC
November 3, 2006 - April 19, 2011
HIGHLANDER CAPITAL GROUP, INC.
June 12, 1992 - November 30, 2006
MCCONNELL, BUDD & ROMANO, INC.
February 23, 1981 - April 3, 1989
KEEFE, BRUYETTE & WOODS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ARGENTIS ADVISORS, INC.
CRD#: 164205 / SEC#:
Contact information
Red Flags
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