Jorge E Romero

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

• 03/2010 → 11/2017
  Morgan Stanley Smith Barney
  Long Beach, NY
• 01/2015 → 11/2017
  Morgan Stanley Private Bank, National Association
  New York, NY
• 11/2017 → 06/2023
  Oppenheimer & Co., Inc.
  New York, NY
• 06/2023 → Present
  Lpl Financial
  New York, NY

Previous Registrations

• 2017-11-03 → 2023-06-30
  Oppenheimer & Co. Inc.
  New York, NY
• 2010-07-14 → 2017-11-06
  Morgan Stanley
  New York, NY
  New York, NY
  New York, NY
• 2008-05-27 → 2010-03-15
  Nationwide Investment Advisors, Llc
  Columbus, OH

Other Businesses

1) 03/06/2024 - Certification Tutor LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 1/17/2023 - 36 hrs/mo; 1 Hr During Trading. 2) 01/28/2026 - Jorge E. Romero Sole Porprietor - Non-Variable Insurance - Independent Insurance Agent - Investment Related - At Reported Business Location(s) - Start Date 01/23/2026 - 20 hours per month/ 5 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2008-05-23
• S63 Uniform Securities Agent State Law Examination
  1999-10-14

Designations

• Certified Financial Planner

Other Names

• George Romero
• Jorge E Romero
• Jorge Enrique Romero