Frank Alan Romero

Current Employers

Employment History

• 02/2005 → 11/2018
  Loring Ward Securities Inc.
  San Jose, CA
• 10/2018 → Present
  Foreside Financial Services, Llc
  New Braunfels, TX
• 12/2018 → Present
  Focus Advisor Solutions, Llc
  New Braunfels, TX

Previous Registrations

• 2006-12-04 → 2018-12-17
  Lwi Financial Inc.
  San Jose, CA
  Campbell, CA

Other Businesses

1) Focus Advisor Solutions, LLC; Investment Related; New Braunfels, TX; Began 11/2018; Investment; Regional Director; Member of the advisor relations team and am a primary relationship manager for advisors in territory.; 160 hours per month all during securities trading hours. 2) IN ADDITION TO BEING AN INVESTMENT ADVISOR REPRESENTATIVE OF Buckingham Strategic Partners, LLC., THIS ASSOCIATE IS A REGISTERED REPRESENTATIVE OF FORESIDE FINANCIAL SERVICES, LLC., AN UNAFFILIATED BROKER DEALER. THE ASSOCIATES IS A REGISTERED REPRESENTATIVE FOR PURPOSES OF FORESIDE FINANCIAL SERVICES, LLC. ACTING AS THE MUTUAL FUND DISTRIBUTOR FOR THE SA FUND UNDER Buckingham Strategic Partners, LLC. 3) Rowel Western; Non-Investment Related; Braunfels, TX; Western Apparel; Owner; 1/20 start date; 10 hours per month; 0 during trading hours. 4) JARCY LLC; Non-Investment related; El Paso, TX; Began 07/2016; Real Estate; Director; Passive real estate holding entity; 0 hours per month with 0 during trading hours 5) The Shoe 2 LLC; Non-Investment related; Austin, TX; Began 11/2015; Bar/Restaurant; Limited Partner; 0 hours per month with 0 during trading hours 6) Ryalito Ranch LLC; New Braunfels, TX; Not Investment Related; Started 05/19/2015; Rental Property; Owner; 0 hours per month; 0 hours during securities trading hours/

Exams

• S66 Uniform Combined State Law Examination
  2005-12-21

Designations

Other Names

• Panch Alan Romero