Carlos Romero

Investment Manager

I'm an independent financial advisor who works on behalf of my clients.  I have no agenda other than yours.

I have a rich and diverse background of experience from putting myself through Boston University, to working at the Wall Street Journal, to becoming a financial advisor who worked successfully at such firms as Alex, Brown and Sons, Morgan Stanley, Smith Barney, Wells Fargo, and now my own firm. My goal in starting my own firm has always been to help clients achieve their life goals.  I understand all too well that your precious capital is an important component to achieving your goals in life.  I started my firm because it allows me to focus solely on taking care of clients.  There are no other agenda items based on the firm I work for.  I work for my clients.  

I'm currently active here in Boca Raton with the Gold Coast Tiger Bay Club, a local non partisan political group, and I'm President of the Temple Beth El Brotherhood. My family has been supporters of Boca Raton Community Hospital where my two sons were born. I am a 25-year resident of Boca Raton, and I've served on the boards of AVDA, the Levis JCC, Temple Beth El and Pop Warner football during my time here.

I am a Certified FINRA arbitrator as well as a Certified FInancial Fiduciary™.  I have worked with many different types of clients--entrepreneurs, corporate executives, medical professionals, pro athletes, and retirees.  I have done full financial plans, developed life insurance protection strategies, built income portfolio strategies, and constructed asset preservation using different options for my clients over the years.  There is not much I do not know about in the area of financial services and investing. I have clients in different geographies and visit them regularly.

Reach out to me with any questions and to learn more about the work we do for our clients. 




Phone (561) 350-7156
Fax (815) 550-7156