William Romero is a registered investment advisor, based in New York, NY, with 18 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold.
Location
45 Broadway, 19th Floor, New York, NY, 10006
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Regulatory History (3)
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Customer Dispute
March 2022Denied
Employment Separation After Allegations
January 2015Customer Dispute
July 2011Settled
Employment History
Current Registrations
Spartan Capital Securities, LLCBroker
March 2026 - Present · 7 mos
Spartan Capital Private Wealth Management LLC
March 2026 - Present · 7 mos
Previous Registrations
MML Investors Services, LLC
October 2023 - June 2025 · 1 yr 8 mos
MML Investors Services, LLCBroker
October 2023 - June 2025 · 1 yr 8 mos
Ameriprise Financial Services, LLC
November 2018 - October 2023 · 4 yrs 11 mos
Ameriprise Financial Services, LLCBroker
October 2018 - October 2023 · 5 yrs
Eagle Strategies LLC
May 2017 - February 2018 · 9 mos
Nylife Securities LLCBroker
February 2017 - February 2018 · 1 yr
AXA Advisors, LLC
September 2015 - January 2017 · 1 yr 4 mos
AXA Advisors, LLCBroker
April 2015 - January 2017 · 1 yr 9 mos
J.P. Morgan Securities LLC
October 2012 - February 2015 · 2 yrs 4 mos
J.P. Morgan Securities LLCBroker
October 2012 - February 2015 · 2 yrs 4 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
January 2007 - October 2012 · 5 yrs 9 mos
National Securities CorporationBroker
June 2006 - December 2006 · 6 mos
State Registrations12 states
AZCTFLMDNJNYOHPARITXVAWV
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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