Cesar Romero
Cesar Romero is a CFP-designated registered investment advisor at Principal Securities, INC., based in Addison, TX, with 5 years of industry experience. Cesar is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
5080 Spectrum Dr, Ste 1200E, Addison, TX, 75001
Get directionsHistory
Regulatory History (1)
Criminal
May 2006Other Business ActivitiesSells Insurance
Cesar is an insurance agent selling and servicing fixed insurance products, including life, annuities, disability insurance, long-term care, health, and group insurance, dedicating about 10-20% of his time. Cesar also owns residential rental property.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Cetera Advisor Networks LLCBroker
Sageview Advisory Group, LLC
Ksi Financial
Thrivent Investment Management INC.
Thrivent Investment Management INC.Broker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
State Registrations16 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.
Exams
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