Romeo Portillo is a seasoned financial services executive with more than three decades of experience spanning finance, operations, and regulatory compliance across broker-dealers and investment management firms. He has held long-standing C-suite roles, including Chief Compliance Officer, Chief Financial Officer, and Chief Operating Officer, across multiple regulated entities.

Romeo brings deep expertise in financial and operational controls, net capital oversight, regulatory examinations, and the design and supervision of internal control and supervisory frameworks. His experience includes maintaining firm-wide policies and procedures, supervising registered personnel, reviewing communications, coordinating with clearing firms, and managing audits and regulatory interactions. He has consistently played a central role in ensuring compliance with SEC and FINRA requirements while supporting stable, scalable, and well-controlled business operations.

Throughout his career, Romeo has demonstrated consistent leadership in highly regulated environments, combining operational discipline with a strong compliance-first mindset. He holds multiple FINRA registrations, including Series 7, 24, 27, 53, 63, 65, and 99.