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Emanuel Romero-Vicini

25 Years of Experience
Stamford, CT
Broker
View SEC Summary
View SEC Summary

Emanuel Romero-Vicini is a registered investment advisor, based in Stamford, CT, with 25 years of industry experience. Emanuel is also registered as a broker, so some compensation may come from commissions on products sold.

Location

1010 Washington Blvd, Suite 300, Stamford, CT, 06901

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Emanuel is the CEO of Resilience Investment Advisory Compliance Consultants (IACC), which provides RIA creation services and general compliance consulting. He devotes a few hours per week to this business.

Employment History
Current Registrations
Vision Financial Markets LLCBroker
January 2020 - Present · 6 yrs 9 mos
Vision Brokerage Services, LLCBroker
January 2020 - Present · 6 yrs 9 mos
Vision Financial Markets LLC
January 2020 - Present · 6 yrs 9 mos
Vision Investment Advisors, LLC
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Essex Financial Services, INC.
May 2016 - July 2019 · 3 yrs 2 mos
Essex Financial Services, INC.Broker
May 2016 - July 2019 · 3 yrs 2 mos
Investment Advisors
May 2014 - March 2016 · 1 yr 10 mos
Proequities, INC.Broker
April 2014 - March 2016 · 1 yr 11 mos
Futurity First Investment Services INC.Broker
April 2014 - July 2015 · 1 yr 3 mos
Northstar Wealth Partners LLC
April 2014 - April 2014 · 0 mos
LPL Financial LLCBroker
November 2011 - April 2014 · 2 yrs 5 mos
LPL Financial LLC
November 2011 - November 2011 · 0 mos
Silver Oak Securities, IncorporatedBroker
August 2011 - September 2011 · 1 mo
Raymond James Financial Services Advisors, INC
December 2009 - February 2010 · 2 mos
Raymond James Financial Services, INC.Broker
January 2003 - February 2010 · 7 yrs 1 mo
Worldco, L.L.C.Broker
May 2002 - August 2002 · 3 mos
J.P. Turner & Company, L.L.C.Broker
January 2002 - June 2002 · 5 mos
Edgetrade.com, INC.Broker
April 2001 - May 2001 · 1 mo
TD Waterhouse Investor Services, INC.Broker
July 1998 - March 2001 · 2 yrs 8 mos
R.D. White & CO., INC.Broker
September 1997 - December 1997 · 3 mos
Nichols, Safina, Lerner & CO. INC.Broker
June 1997 - July 1997 · 1 mo
State Registrations2 states
CTPA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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Emanuel Romero-Vicini - Financial Advisor | TrueAdvisor