Emanuel Romero-Vicini has been an investment adviser representative at Vision Investment Advisors since January 2020, and is not listed among the firm’s executive officers or direct owners.
Vision Investment Advisors, LLC is a Stamford, CT firm with $137M under management, 129 clients and 4 advisers across 5 offices, as of its May 2026 filing.
Emanuel Romero-Vicini’s longest registration is the current one, 6 years at Vision Investment Advisors since 2020. Before joining Vision Investment Advisors in 2020, Emanuel Romero-Vicini was registered through Essex Financial Services, Inc. and Investment Advisors.
- – present · 6 yearsStamford, CT · Adviser representative · Firm CRD 109621
- Essex Financial Services, Inc.– · 3 yearsEssex, CT · Adviser representative · Firm CRD 127549
- Investment Advisors– · 1 yearMiddletown, CT · Adviser representative · Firm CRD 15708
- Northstar Wealth Partners LLC– · under a yearWest Hartford, CT · Adviser representative · Firm CRD 169409
- LPL Financial LLC– · under a yearWest Hartford, CT · Adviser representative · Firm CRD 6413
- Raymond James Financial Services Advisors, Inc– · under a yearMiddletown, CT · Adviser representative · Firm CRD 149018
Investment adviser representative registrations
Emanuel Romero-Vicini is registered as an investment adviser representative in Connecticut, since January 2020.
- ConnecticutSince 22 January 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 20 January 2017 |
| Series 53 | Municipal Securities Principal Examination | 21 July 2016 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 March 2004 |
| Series 4 | Registered Options Principal Examination | 10 April 2002 |
| Series 24 | General Securities Principal Examination | 8 March 2002 |
| Series 55 | Limited Representative-Equity Trader Exam | 3 May 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 June 1997 |
| Series 7 | General Securities Representative Examination | 7 June 1997 |
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Emanuel Andres Romero-Vicini
- CRD
- 2887156
- Firm
- Vision Investment Advisors · CRD 109621
- Office
- 1010 WASHINGTON BLVD, SUITE 300, Stamford, CT 06901
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Emanuel Romero-Vicini work?
Emanuel Romero-Vicini is an investment adviser representative registered through Vision Investment Advisors, LLC since January 2020, and is not listed among the firm’s executive officers or direct owners.
Is Emanuel Romero-Vicini a financial advisor?
Yes. Emanuel Romero-Vicini has a current investment-adviser registration in Connecticut, through Vision Investment Advisors since January 2020.
How many years of experience does Emanuel Romero-Vicini have?
Emanuel Romero-Vicini has 25 years in the financial industry, since July 2001, across 6 adviser firms.
What exams has Emanuel Romero-Vicini passed?
Emanuel Romero-Vicini has passed 11 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 4, Series 65, Series 53, Series 27, Series 57TO, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in June 1997. FINRA credited Emanuel Romero-Vicini with the SIE, which began in October 2018.
Where did Emanuel Romero-Vicini work before Vision Investment Advisors?
Before Vision Investment Advisors, Emanuel Romero-Vicini was registered through Essex Financial Services, Inc., May 2016 to July 2019; Investment Advisors, May 2014 to March 2016; Northstar Wealth Partners LLC, April 2014 to April 2014; LPL Financial LLC, November 2011 to November 2011; Raymond James Financial Services Advisors, Inc, December 2009 to February 2010.
Where is Emanuel Romero-Vicini based?
Emanuel Romero-Vicini’s registered office is in Stamford, CT.
Is Emanuel Romero-Vicini registered with FINRA?
Yes. Emanuel Romero-Vicini has a current broker registration, under CRD 2887156.
Source: FINRA BrokerCheck
How can I verify Emanuel Romero-Vicini’s record?
Search CRD 2887156 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Emanuel Romero-Vicini’s full registration record.