Roy Romero

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 03/2021 → 11/2024
  Pruco Securities, Llc.
  Honolulu, HI
• 07/2019 → Present
  List Sotheby's International Realty
  Honolulu, HI
• 09/2010 → Present
  Romven Media Llc
  Honolulu, HI
• 11/2024 → Present
  Lpl Enterprise, Llc
  Honolulu, HI

Previous Registrations

• 2023-08-28 → 2024-11-14
  Pruco Securities, Llc.
  Honolulu, HI
  Honolulu, HI

Other Businesses

1) 10/07/2024- Senior Benefits Consultants- Senior Benefits Consultants- Medicare Plans Sales- INV Related- At Honolulu, HI- Start date 09/01/2023- 6 HRS MTH- 0 HRS During trading 2) 09/26/2024- Romven Media LLC- Business Owner- Photography, Videography, Graphic Design- INV Related- At Honolulu, HI- 09/01/2011- 4 HRS MTH- 0 HRS During trading 3) 09/26/2024- Rebecca Roy Salon- Business Owner- Business owner: Salon services for men, women and children. Managing business for retail salon- Not INV Related- At Honolulu, HI- 05/06/2024- 4 HRS MTH- 0 HRS During trading 4) 09/26/2024- Cordero Corp- Mortgage/Real Estate Services- Real Estate Sales representing buyers and sellers- INV Related- At Honolulu, Hi- 03/06/2024- 8 HRS MTH- 0 HRS During trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-08-05
• S63 Uniform Securities Agent State Law Examination
  2022-03-05