Best Investors Account Sign in

Luis A Romano

LPl Financial LLC

Fayetteville, NY

Syracuse, NY

Claim This Profile
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-09-24
NY RA APPROVED 2021-06-09
  • TX RA
    APPROVED_RES
    Since 2021-09-24
  • NY RA
    APPROVED
    Since 2021-06-09

Branch Locations

500 E. Genesee St., Fayetteville, NY 13066 • United States

Syracuse, 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
M&T Securites Utica NY 12/2015 06/2021
Lpl Financial Llc Fayetteville NY 06/2021 Present
  • 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-04
S63 Uniform Securities Agent State Law Examination 2011-11-17
  • 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

View on SEC IAPD

Other Firms

VOYA FINANCIAL ADVISORS, INC.
CETERA INVESTMENT ADVISERS LLC
CONSTELLATION ASSET MANAGEMENT, INC.
COMMONWEALTH FINANCIAL NETWORK
VANDERBILT ADVISORY SERVICES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CITIZENS SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

STEPHANE FRANCIS LASHER
AARON M CAHILL
RICHARD ARTHUR LUDINGTON
TONIA LEE GREEN
Kenneth T Walcyk
KRISTIN JOYCE WALTS
CHRISTOPHER HOWARD DEVOE
JENNIFER M VALLEY

Other Offices

VOYA FINANCIAL ADVISORS, INC. · FAYETTEVILLE, NY
CETERA INVESTMENT ADVISERS LLC · FAYETTEVILLE, NY
CETERA INVESTMENT ADVISERS LLC · FAYETTEVILLE, NY
LPL FINANCIAL LLC · FAYETTEVILLE, NY
CONSTELLATION ASSET MANAGEMENT, INC. · FAYETTEVILLE, NY
LPL FINANCIAL LLC · FAYETTEVILLE, NY
COMMONWEALTH FINANCIAL NETWORK · Fayetteville, NY
VANDERBILT ADVISORY SERVICES · Fayeteville, NY

More in Fayetteville, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor