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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-01-09 |
| TX | RA | APPROVED_RES | 2013-04-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Santa Ana | CA | 11/2007 | Present |
1. 01/02/08 - KARL H. ROMERO & ASSOCIATES, INC - FINANCIAL PLANNING, FIXED INSURANCE, LIFE, HEALTH CARE . 100% TIME SPENT - SANTA ANA CA. 2. 3/28/2016: Romero & Levin Wealth Management - DBA: Romero Levin Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/01/16 - 200 Hours Per Month/8 Hours During Securities Trading. 3. 10/25/2019 - Romero Wealth Management - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:10/24/2019 - 180 hrs/mo - 6 hrs during trading. 4. 11/13/2019 - No business name - Not investment related - Home based - Reps Business - start date:1/2/2020 - 8 hrs/mo - 0 hrs during trading - generate non hazardous products online.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-10 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-21 |
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