Sergio Romero

Current Employers

U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-02-13

CA RA
APPROVED

Since 2026-02-13

Branch Locations

490 Fletcher Pkwy, El Cajon, CA 92020 • United States

576 W Main St, El Centro, CA 92243 • 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

Organization	City	State	From	To
M.U.F.G. Union Bank, N.A	Calexico	CA	01/2008	05/2023
Unionbanc Investment Services	Brawley	CA	01/2016	05/2023
U.S. Bancorp Investments, Inc.	El Centro	CA	05/2023	02/2026
U.S. Bank	Fallbrook	CA	05/2023	07/2023
U.S. Bancorp Advisors, Llc	El Centro	CA	02/2026	Present

01/2008 → 05/2023

M.U.F.G. Union Bank, N.A

Calexico, CA
01/2016 → 05/2023

Unionbanc Investment Services

Brawley, CA
05/2023 → 02/2026

U.S. Bancorp Investments, Inc.

El Centro, CA
05/2023 → 07/2023

U.S. Bank

Fallbrook, CA
02/2026 → Present

U.S. Bancorp Advisors, Llc

El Centro, CA

Previous Registrations

2024-03-04 → 2026-02-13

U.S. Bancorp Investments, Inc.

Boise, ID

Alpine, CA

El Cajon, CA

El Centro, CA

Fallbrook, CA

El Centro, CA

Irvine, CA

Other Businesses

1) California In-Home Support Services; Not investment-related; Calexico, CA; In-home support; Employee; Independent Care Provider 09/01/2022; 77.46 hours/month; 0 hours/trading; support services through CA In-Home Supportive Services.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-03-04
S63	Uniform Securities Agent State Law Examination	2016-02-29

S66 Uniform Combined State Law Examination

2024-03-04
S63 Uniform Securities Agent State Law Examination

2016-02-29

View on SEC IAPD