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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

CARLOS ALBERTO ROMERO

Advisor at LPL FINANCIAL LLC

ROCKVILLE, MD

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Search this name across graphsid dfx:ria:66ff9945-65c8-682e-2f5f-65c8677ed2da

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 24, 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: LPL FINANCIAL LLC
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: May 29, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 29, 2003
First registration: Jul 24, 2003
Dual registered: yes, broker-dealer
Other names: ALBERTO ROMERO|CARLOS ALBERTO ROMERO|CARLOS ROMERO
IAPD individual key: 4651233

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
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 1, 2013	n/a	yes	ROCKVILLE, MD	Current employment
LARA, MAY & ASSOCIATES, LLC	Former SEC adviser	Jul 17, 2012	Nov 4, 2013	no	Fairfax, VA	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Oct 24, 2011	Jun 21, 2012	no	WHEATON, MD	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 2, 2009	Jun 17, 2010	no	SILVER SPRING, MD\|SAN DIEGO, CA\|WHEATON, MD	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 5, 2008	Jun 2, 2009	no	GAMBRILLS, MD\|ODENTON, MD\|ELLICOT CITY, MD\|FULTON, MD\|GLEN BURNIE, MD\|WOODSTOCK, MD\|HANOVER, MD\|GLENELG, MD\|CLARKSVILLE, MD	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Aug 3, 2006	Mar 25, 2008	no	BALTIMORE, MD\|FALLS CHURCH, VA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Jun 14, 2004	Feb 16, 2006	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 24, 2003	Apr 9, 2004	no	COLUMBIA, MD	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
LARA, MAY & ASSOCIATES, LLC	LPL FINANCIAL LLC	Nov 4, 2013	Nov 1, 2013	-3	Firm change	Other
ALLSTATE FINANCIAL ADVISORS, LLC	LARA, MAY & ASSOCIATES, LLC	Jun 21, 2012	Jul 17, 2012	26	Firm change	Other
LPL FINANCIAL LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Jun 17, 2010	Oct 24, 2011	494	Firm change after gap	Other
PNC WEALTH MANAGEMENT	LPL FINANCIAL LLC	Jun 2, 2009	Jun 2, 2009	0	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	PNC WEALTH MANAGEMENT	Mar 25, 2008	May 5, 2008	41	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	UVEST FINANCIAL SERVICES GROUP, INC.	Feb 16, 2006	Aug 3, 2006	168	Firm change	Other
EQUITABLE ADVISORS, LLC	SUNTRUST INVESTMENT SERVICES, INC.	Apr 9, 2004	Jun 14, 2004	66	Firm change	Other

Relationships

Registered with (7)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 2, 2009 to Jun 17, 2010factForm ADV
→ LARA, MAY & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Jul 17, 2012 to Nov 4, 2013factForm ADV
→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 24, 2011 to Jun 21, 2012factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 5, 2008 to Jun 2, 2009factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Aug 3, 2006 to Mar 25, 2008factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 14, 2004 to Feb 16, 2006factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 24, 2003 to Apr 9, 2004factForm ADV

Dated events

No dated event names this entity yet.