Carlos Romero
Carlos Romero is a registered investment advisor at LPL Financial LLC, based in Rockville, MD, with 22 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
15823 Crabbs Branch Way, Rockville, MD, 20855
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Carlos operates Encompass Wealth Management as a DBA for his LPL business, dedicating full-time hours. He also works as a real estate agent, provides tax preparation services, manages rental real estate, and works for Insurance Agents of America LLC, dedicating about 10-20% of his time to each of these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Lara, May & Associates, LLCBroker
Lara, May & Associates, LLC
Allstate Financial Advisors, LLC
Allstate Financial Services, LLCBroker
LPL Financial Corporation
LPL Financial CorporationBroker
PNC Investments
PNC InvestmentsBroker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Suntrust Investment Services, INC.
Suntrust Investment Services, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations9 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.