Business ProfileforZera Financial
Current Alerts For This Business
The following describes a government action that has been resolved by either a settlement or a decision by a court or administrative agency. If the matter is being appealed, it will be noted below.
On November 20, 2023, Zera Financial LLC and Luis A. Romero entered into a Consent Order with the Department of Financial Protection and Innovation. The Consent Order settles allegations that the business and Luis A. Romero offered and sold investment contracts by means of written or oral communication, which included untrue statements of material facts or omitted statements of material facts, that were not previously qualified. Under terms of the Consent Order, the business and Luis A. Romero were ordered to desist and refrain from offering, selling, buying, or offering to buy any security in the State of California, including but not limited to investment contracts, desist and refrain from offering, selling, buying, or offering to buy any security in the state of California by means of any written or oral communication, which includes an untrue statement of material fact or omits to state a material fact, Romero is barred from any position of employment, management, or control of any investment adviser, broker-dealer, or commodity adviser, any officer, director, partner, employee of, or person performing similar functions for, an investment adviser, or any other person.
This action is final.
Additional business information
The following describes a pending government action that has been formally brought by a government agency but has not yet been resolved. We are providing a summary of the governments allegations, which have not yet been proven.
On September 27, 2023, the Securities and Exchange Commission filed a complaint against Zera Financial LLC and Luis A. Romero. Charges filed allege the business is in violation of Federal law prohibiting fraud in connection with the purchase or sale of securities and fraud in the offer or sale of securities.
This matter is pending.
At-a-glance
Related Categories
Overview
Business Details
- Location of This Business
- 2160 Barranca Pkwy # 1211, Irvine, CA 92606-4940
- BBB File Opened:
- 6/7/2022
- Years in Business:
- 3
- Business Started:
- 3/15/2021
- Business Incorporated:
- 6/5/2021
- Type of Entity:
- Limited Liability Company (LLC)
- Alternate Business Name
- Zera Financial LLC
- Business Management
- Mr. Luis A Romero, Owner
- Contact Information
Principal
- Mr. Luis A Romero, Owner
Customer Contact
- Mr. Luis A Romero, Owner
- Additional Contact Information
Email Addresses
- Primary
Customer Complaints
5 Customer Complaints
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06/26/2023
- Complaint Type:
- Customer Service Issues
- Status:
- Unanswered
Customer Reviews
10 Customer Reviews
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Most Recent Customer Review
Bill K
10/06/2023
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