Carlos Romero
Carlos Romero is a registered investment advisor at Osaic Wealth, INC., based in Fort Lauderdale, FL, with 29 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
5310 NW 33 Ave., Suite 206, Fort Lauderdale, FL, 33309
Get directionsHistory
Regulatory History (3)
Customer Dispute
June 2014Customer Dispute
August 2013Customer Dispute
September 2004Other Business ActivitiesSells Insurance
Carlos is a member of Romero Investment Management, an agent for TBG DANCO and Creative Financial Network (insurance agencies), and an arbitrator for FINRA. He also dedicates time to non-profit organizations and recruiting advisors for Mt. Yale Advisor Partners LLC, taking about 10-20% of his time.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Innovation Partners LLCBroker
Ip Financial Advisory Services LLC
Next Financial Group, INC.
Next Financial Group, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Deutsche Banc Alex. Brown INC.Broker
Db Alex. Brown LLCBroker
Alex. Brown & Sons IncorporatedBroker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.