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Nicolas Ramon Romero

Voya Financial Advisors, Inc.

Richfield, MN

Tacoma, WA

Minneapolis, MN

CRD 5131072

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Employer firm

Voya Financial Advisors, Inc. CRD 2882

$3.87B regulatory AUM 120 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2019-05-09
  • MN RA
    APPROVED
    Since 2019-05-09

Branch Locations

Richfield, MN • United States

1201 Pacific Ave Suite 600, Tacoma, WA 98402 • United States

250 Marquette Avenue, Suite 900 Suite 900, Minneapolis, MN 55401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Edina MN 03/2016 04/2019
Arazon Financial Group Edina MN 03/2016 04/2019
Voya Financial Advisors, Inc. Richfield MN 05/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-15
S63 Uniform Securities Agent State Law Examination 2011-07-06
  • S65 Uniform Investment Adviser Law Examination
    2016-01-15
  • S63 Uniform Securities Agent State Law Examination
    2011-07-06
Other Names
  • Ramon Romero Nicolas

View on SEC IAPD

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