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Frank Joseph Romano

Citigroup Global Markets Inc.

Bronx, NY

Greenwich, CT

Armonk, NY

Bronx, NY

Thornwood, NY

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-17
  • NY RA
    APPROVED
    Since 2021-08-17

Branch Locations

Cwm Retail, Sales 3924 East Tremont Avenue, Bronx, NY 10465 • United States

Citi Wealth Management, Sales 14-18 Railroad Avenue, Greenwich, CT 06830 • United States

Cwm Retail, Sales 435 Main Street, Armonk, NY 10504 • United States

Cwm Retail, Sales 3924 East Tremont Avenue, Bronx, NY 10465 • United States

Thornwood, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Essex National Securities, Inc. Lake Success NY 03/2001 Present
Metro Agency Manhattan NY 12/2000 Present
Greenpoint Securities Llc Lake Success NY 01/2004 Present
Nfb Investment Services Corp. Melville NY 01/2005 Present
Capital One Sharebuilder, Inc. Bronx, NY 01/2015 Present
Sharebuilder 401K Seattle WA 01/2015 Present
  • 03/2001 → Present
    Essex National Securities, Inc.
    Lake Success, NY
  • 12/2000 → Present
    Metro Agency
    Manhattan, NY
  • 01/2004 → Present
    Greenpoint Securities Llc
    Lake Success, NY
  • 01/2005 → Present
    Nfb Investment Services Corp.
    Melville, NY
  • 01/2015 → Present
    Capital One Sharebuilder, Inc.
    Bronx,, NY
  • 01/2015 → Present
    Sharebuilder 401K
    Seattle, WA
Previous Registrations
  • 2015-01-28 → 2015-06-04
    Capital One Advisors, Llc
    Seattle, WA
  • 2004-01-14 → 2015-01-28
    Capital One Financial Advisors Llc
    Bronx, NY
  • 2003-11-07 → 2004-01-14
    Essex National Securities, Llc
    Lake Success, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-05
S63 Uniform Securities Agent State Law Examination 2001-05-16
  • S66 Uniform Combined State Law Examination
    2003-11-05
  • S63 Uniform Securities Agent State Law Examination
    2001-05-16

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
TD PRIVATE CLIENT WEALTH LLC
LIGHTHOUSE WEALTH MANAGEMENT, LLC
CITIZENS SECURITIES, INC.
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC INSTITUTIONS, INC.

Other Investors

PEDRO M ESPEJO
YANIQUE KEISHA PAULA ANDERSON
MARK CHARLES JAFFE
MATTHEW FARRELL GRIFFIN
Tommaso A Mellone
Salvatore Sferruzza
Vito Petriello
RICHARD STEPHEN ESPOSITO

Other Offices

J.P. MORGAN SECURITIES LLC · BRONX, NY
CITIGROUP GLOBAL MARKETS INC. · BRONX, NY
J.P. MORGAN SECURITIES LLC · BRONX, NY
TD PRIVATE CLIENT WEALTH LLC · Bronx, NY
LIGHTHOUSE WEALTH MANAGEMENT, LLC · BRONX, NY
CITIZENS SECURITIES, INC. · BRONX, NY
J.P. MORGAN SECURITIES LLC · BRONX, NY
LPL FINANCIAL LLC · BRONX, NY

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