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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

CARLOS ROBERT ROMERO

Advisor at OSAIC WEALTH, INC.

BOCA RATON, FL | FORT LAUDERDALE, FL

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Search this name across graphsid dfx:ria:2852e059-55ac-b850-bbd6-cd40ad777cc3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 30, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 9, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Aug 9, 1996
First registration: Apr 30, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2468255

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Mar 3, 2025	n/a	yes	BOCA RATON, FL\|FORT LAUDERDALE, FL	Current employment
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Dec 11, 2023	Mar 7, 2025	no	Boca Raton, FL\|CHARLOTTE, NC	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Jun 10, 2014	Dec 12, 2023	no	HOUSTON, TX\|BOCA RATON, FL\|Boca Raton, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 13, 2012	Jun 10, 2014	no	BOCA RATON, FL\|BOCA RATON, FL\|BOCA RATON, FL\|FORT LAUDERDALE, FL\|BOCA RATON, FL\|BOCA RATON, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 16, 2012	no	BOCA RATON, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Mar 5, 2008	Jun 1, 2009	no	BOCA RATON, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 30, 2003	Mar 13, 2008	no	BOCA RATON, FL\|BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
IP FINANCIAL ADVISORY SERVICES LLC	OSAIC WEALTH, INC.	Mar 7, 2025	Mar 3, 2025	-4	Firm change	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	IP FINANCIAL ADVISORY SERVICES LLC	Dec 12, 2023	Dec 11, 2023	-1	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	NEXT FINANCIAL GROUP, INC.	Jun 10, 2014	Jun 10, 2014	0	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Aug 16, 2012	Aug 13, 2012	-3	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY & CO. LLC	Mar 13, 2008	Mar 5, 2008	-8	Firm change	Other

Relationships

Registered with (7)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Mar 3, 2025 to presentfactForm ADV
→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: previous registration
Dec 11, 2023 to Mar 7, 2025factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jun 10, 2014 to Dec 12, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 13, 2012 to Jun 10, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 16, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Mar 5, 2008 to Jun 1, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 30, 2003 to Mar 13, 2008factForm ADV

Dated events

Occurred
Mar 7, 2025
Advisor changed firm
Carlos Robert Romero left Ip Financial Advisory Services Llc for Osaic Wealth, Inc. (registered 2025-03-03)
Form ADVobserved 4 days ago
Occurred
Dec 12, 2023
Advisor changed firm
Carlos Robert Romero left Next Financial Group, Inc. for Ip Financial Advisory Services Llc (registered 2023-12-11)
Form ADVobserved 4 days ago