Luis A Romano

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 06/2021
  M&T Securites
  Utica, NY
• 06/2021 → Present
  Lpl Financial Llc
  Fayetteville, NY

Previous Registrations

• 2015-12-24 → 2021-06-09
  M&T Securities, Inc.
  Newport, NY
  Cheektowaga, NY
  Utica, NY
  Utica, NY
  Frankfort, NY
  Little Falls, NY
  North Herkimer, NY
  Dolgeville, NY
  Syracuse, NY
  Liverpool, NY
  Syracuse, NY
  Watertown, NY
  Syracuse, NY
  Baldwinsville, NY
  Liverpool, NY
  Baltimore, MD
  Syracuse, NY
  East Syracuse, NY
  East Syracuse, NY
• 2014-01-14 → 2015-12-07
  Equitable Advisors, Llc
  Syracuse, NY
  Syracuse, NY

Other Businesses

1) 3/18/13-RENTAL PROPERTY - OWNER/1%/ MCALLEN, TX 2) 04/2009 Owner/Landlord Residential Rental Property

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-10-04
• S63 Uniform Securities Agent State Law Examination
  2011-11-17

Other Names

• Luis Alberto Romano Moore
• Luis A Romano Moore