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Hector Alexis Romo

Mwa Financial Services Inc.

Laguna Hills, CA

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Current Employers
Mwa Financial Services Inc.

1701 1St Avenue, Rock Island, IL 61201 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2023-11-21
TX RA APPROVED_RES 2021-12-12
CA RA APPROVED 2021-05-06
  • OR RA
    APPROVED
    Since 2023-11-21
  • TX RA
    APPROVED_RES
    Since 2021-12-12
  • CA RA
    APPROVED
    Since 2021-05-06

Branch Locations

23441 S. Pointe Drive Suite 110, Laguna Hills, CA 92653 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Modern Woodmen Of America Rock Island IL 05/2015 Present
Mwa Financial Services Inc. Rock Island IL 12/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-12
S63 Uniform Securities Agent State Law Examination 2016-05-12
  • S65 Uniform Investment Adviser Law Examination
    2021-04-12
  • S63 Uniform Securities Agent State Law Examination
    2016-05-12

View on SEC IAPD

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