Kimberly Nicole Romo
Investment adviser representative at LPL Financial LLC
13 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
13 years in the industry.
- LPL Financial LLCFeb 2026 to now
- Arrowhead Credit UnionFeb 2026 to now
- U.S. Bancorp Investments, Inc.Apr 2023 to Feb 2026
- U.S. BankSep 2021 to Oct 2023
- The Habit Burger GrillFeb 2021 to Sep 2021
- UnemployedNov 2020 to Feb 2021
- BurgerimDec 2018 to Oct 2020
- UnemployedMay 2013 to Nov 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 65 · Uniform Investment Adviser Law2024
State registrations
Registered as an investment adviser representative in 2 states (AZ, CA).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7732701
- Firm CRD
- 6413