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Alan Michael Romero

Description

Alan Romero is a financial professional at UBS Financial Services Inc., a broker-dealer with over 11,700 registered representatives nationwide. Alan has held an industry securities registration for 12 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Alan Michael Romero has not answered any questions on Financial Q&A.

Top Guides

Alan Michael Romero has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
UBS Financial Services Inc. 1 year, 10 months Aug 2011 - Present
Bellco Credit Union 8 years, 1 month Jul 2003 - Aug 2011
Cuso Financial Services,Lp 8 years, 1 month Jul 2003 - Aug 2011
Axa Advisors 2 months May 2003 - Jul 2003
Self-Employed 1 year May 2002 - May 2003
Ace Hardware 2 years, 2 months May 2001 - Jul 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 05/15/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

1 Criminal Disclosure

1 Criminal Disclosure
As of Date
05/15/2012
08/15/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Futures Managed Funds Examination Series 31 09/25/2000
Uniform Combined State Law Examination Series 66 08/21/2000
Uniform Securities Agent State Law Examination Series 63 08/31/1999
General Securities Representative Examination Series 7 08/27/1999

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS