Esteban Romero is a registered investment advisor, based in Plano, TX, with 9 years of industry experience.
Location
7900 Windrose Avenue, Plano, TX, 75024
Get directionsHistory
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.
Learn about disclosures →Other Business Activities
Esteban is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This appears to be his primary employment.
Employment History
Current Registrations
Vanguard Marketing CorporationBroker
June 2022 - Present · 3 yrs 11 mos
Vanguard Advisers, INC.
June 2022 - Present · 3 yrs 11 mos
Vanguard Marketing Corporation
June 2022 - Present · 3 yrs 11 mos
Previous Registrations
Advice and Planning Services
August 2018 - May 2022 · 3 yrs 9 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
May 2016 - May 2022 · 6 yrs
State Registrations1 state
TX
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.