Alan Romero
Alan Romero is a registered investment advisor at LPL Financial LLC, based in Boulder, CO, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
5505 Arapahoe Ave, Boulder, CO, 80303
Get directionsHistory
Regulatory History (1)
Criminal
March 1986Other Business ActivitiesSells Insurance
Alan operates under the DBA Kace Wealth Management and Premier Members Credit Union DBA Members Financial Services for his LPL business. He also owns rental real estate and provides after-hours transportation services via Uber, dedicating minimal time to this. Alan also engages in non-variable insurance through Minimax Solutions.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Allstate Financial Services, LLCBroker
Allstate Financial Advisors, LLC
Bbva Wealth Solutions INC.
Bbva Securities INC.Broker
AXA Advisors, LLCBroker
AXA Advisors, LLC
LPL Financial LLC
Wealthplan Partners
LPL Financial LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Western International Securities, INC.Broker
Morgan Stanley Dw INC.Broker
Jwgenesis Financial Group, INCBroker
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.