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David Romero

Nautica Asset Management LLC

Upland, CA

Canton, MI

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Current Employers
Nautica Asset Management Llc

480 N Canton Center Rd. Unit 87919, Canton, MI 48187 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-05-01
  • CA RA
    APPROVED
    Since 2024-05-01

Branch Locations

Upland, CA • United States

480 N Canton Center Rd. Unit 87919, Canton, MI 48187 • 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
Gradient Advisors, Llc Arden Hills MN 11/2020 11/2023
Dhr Insurance Services, Inc. El Segundo CA 06/1977 Present
Concept Administrators, Llc El Segundo CA 08/2002 Present
Verch Insurance El Segundo CA 07/2019 Present
Sherri Romero Insurance Agency Playa Del Rey CA 09/2012 07/2019
Nautica Asset Management Llc El Segundo CA 11/2023 Present
  • 11/2020 → 11/2023
    Gradient Advisors, Llc
    Arden Hills, MN
  • 06/1977 → Present
    Dhr Insurance Services, Inc.
    El Segundo, CA
  • 08/2002 → Present
    Concept Administrators, Llc
    El Segundo, CA
  • 07/2019 → Present
    Verch Insurance
    El Segundo, CA
  • 09/2012 → 07/2019
    Sherri Romero Insurance Agency
    Playa Del Rey, CA
  • 11/2023 → Present
    Nautica Asset Management Llc
    El Segundo, CA
Previous Registrations
Other Businesses

Operate selling life, health disability insurance as well as property casualty insurance.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-09-28
S63 Uniform Securities Agent State Law Examination 1996-10-31
  • S65 Uniform Investment Adviser Law Examination
    2020-09-28
  • S63 Uniform Securities Agent State Law Examination
    1996-10-31
Other Names
  • David Herman Romero

View on SEC IAPD

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