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Daniel S. Romero, CFP®, AIF®, RF™

LPL Financial LLC

Santa Ana

CA

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Overview

Services

Advisor Services

  • Financial Planning
    • -Estate Planning
    • -Comprehensive Financial Planning
    • -Retirement Planning
  • Insurance
    • -Life Insurance
    • -Health Insurance
    • -Long-Term Care Insurance
    • -Annuities
  • Pension Consulting
    • -401k
    • -403b
    • -Defined Benefit
  • Portfolio Management
    • -Individuals and/or Small Businesses
    • -Businesses or Institutional Clients

Funds

Funds Used With Clients

There are no funds listed for this advisor at this time.

Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
LPL Financial LLC 19 years, 3 months Sep 1998 - Present

Designations & Memberships

  • Financial Planning Association
    Membership
    Financial Planning Association
    The Financial Planning Association (FPA®) is the largest membership organization for personal financial planning experts in the U.S. and includes professionals from all backgrounds and business models. We help connect thousands of consumers to competent and ethical planners who uphold the FPA Standard of Care.
  • Financial Services Institute
    Membership
    Financial Services Institute
    Founded in 2004, FSI is the only advocacy organization working on behalf of independent broker-dealers and independent financial advisors. Our vision is that all individuals have access to competent and affordable financial advice, products, and services delivered by a growing network of independent financial advisors affiliated with independent financial services firms. Our mission is to create a healthier regulatory environment for independent broker-dealers and their affiliated independent financial advisors through aggressive and effective advocacy, education, and public awareness. Our strategy supports our vision and mission through robust involvement in FINRA governance, constructive engagement in the regulatory process, and effective influence on the legislative process.
  • Accredited Investment Fiduciary
    Designation
    Accredited Investment Fiduciary
    The Accredited Investment Fiduciary® (AIF®) designation represents a thorough knowledge of and ability to apply the fiduciary practices.
  • Certified 401(k) Professional
    Designation
    Certified 401(k) Professional
    The C(k)P designation represents the pinnacle of achievement for the professional Retirement Plan Advisor, recognizing a combination of substantial practice retirement plan management experience, and the completion of a comprehensive and highly specialized educational program.
  • Certified Financial Planner
    Designation
    Certified Financial Planner
    A standard certification for advisors, designees are exposed to nearly 100 topics on integrated financial planning. Major topics include, but not limited to: insurance, employee benefits, securities, state and federal tax, estate tax and planning, asset protection, etc.
  • Certified Fund Specialist
    Designation
    Certified Fund Specialist
    CFS Designees have expertise in mutual funds and the mutual fund industry. These individuals advise clients on which mutual funds best suit their particular needs. Does not license individuals to buy or sell mutual funds.
  • Registered Fiduciary
    Designation
    Registered Fiduciary
    The Registered Fiduciary™ (RF™) designation identifies financial professionals that have achieved pertinent academic qualifications and licenses, learned required practices, and have passed a background check.

Articles and Answers

Insights by Daniel Romero

    *Articles are published by advisors without compensation.

    Answers

    Ask a financial questionAsk a question
    I am the CFO of my company and we offer a 401k plan, how do I know if I am a fiduciary?
    The answer is: MAYBEIn general terms it’s going to come down to the involvement of the CFO in the plan. If one has discretionary authority or control with regard to the management of the plan or its assets, or any discretionary authority or responsibility with regard to the administration of the p...  (more)
    Answered Jan 2012
      *Answers are submitted by advisors without compensation.

      Licenses & Conducts

      SEC
      U.S. Securities and Exchange Commission
      • license status
        Registered
      • disclosures
        None
      • as of date
        Jun 16, 2017
      FINRA
      FINRA
      • license status
        Registered
      • disclosures
        None
      • as of date
        Jun 16, 2017
      Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

      Assets

      Advisor

      Last updated on June 17, 2017
        • $217.0M
          Total Assets Under Management
        • $0
          Total Assets Under Advisement
        • 210
          number of clients
        • $1.0M
          Estimated Average Account Balance Per Client

      LPL Financial LLC

      Last updated on Aug. 24, 2017
        • $117.2B
          Total Assets Under Management
        • N/A
          Total Assets Under Advisement
        • 552K
          Accounts
        • $212.5K
          Estimated Average Account Balance

      Fees

      Types of Compensation Arrangements