Allen J. Romain

INDEPENDENT FINANCIAL SERVICES

Fowlerville, MI

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CRD#: 1041702

Professional summary

Allen Jon Romain, CFP® is a registered financial advisor currently at INDEPENDENT FINANCIAL SERVICES located in Fowlerville, Michigan.

Allen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Allen has worked at 10 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

DBA: INDEPENDENT FINANCIAL SERVICES. SECURITIES, INSURANCE, FINANCIAL PLANNING. 40HR/WK). START:1988. DUTIES: PROSPECTING, FACT FINDING, CASE ANALYSIS, SALES, & SERVICING THE CLIENTS.$35K/YR OWOSSO PINES FARM. SOLE PROPRIETOR. NURSERY. GROW & SELL TREES FOR A PROFIT. START DATE: 1988. $5K CLEARY UNIVERSITY; 3301 PLYMOUTH, ANN ARBOR, MI; ADJUNCT FACULTY; START 01/2008; 20HRS/MO; 0HRS/MO DURING TRADING; $2500/MO.NIR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Jon Romain's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

October 8, 2010 - Present

INDEPENDENT FINANCIAL SERVICES

RIA

CRD#: 151506

Fowlerville, MI

Past

November 20, 2007 - December 14, 2009

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

FOWLERVILLE, MI

Past

October 23, 2001 - November 9, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

FOWLERVILLE, MI

Past

December 19, 2000 - October 23, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

May 6, 1991 - December 11, 2000

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

April 11, 1991 - May 3, 1991

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Past

December 10, 1990 - April 11, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 10, 1990 - April 11, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 12, 1988 - December 13, 1990

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 24, 1987 - August 24, 1988

MUTUAL SERVICE CORPORATION

CRD#: 4806

Past

March 18, 1983 - March 24, 1987

FIRST HERITAGE CORPORATION

CRD#: 330

Past

July 22, 1982 - March 7, 1983

MUTUAL SERVICE CORPORATION

CRD#: 4806

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(10/8/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Current Firm

INDEPENDENT FINANCIAL SERVICES

ALLEN J ROMAIN | INDEPENDENT FINANCIAL SERVICES ASSOCIATES | INDEPENDENT FINANCIAL SERVICES

CRD#: 151506 / SEC#:

Michigan

Registered Investment Advisory firm - (1/22/2010 Approved)

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Contact information

Main Address

Fowlerville, MI

Mailing Address

Po Box 400, Fowlerville, MI 48836

Phone number

(517) 223-9578

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 1,189,977

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Allen J. Romain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen Jon Romain's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

QUESTAR CAPITAL CORPORATION

WS GRIFFITH SECURITIES, INC.

SIGMA FINANCIAL CORPORATION

SIGMA FINANCIAL CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

OSAIC FS, INC.

MUTUAL SERVICE CORPORATION

FIRST HERITAGE CORPORATION

MUTUAL SERVICE CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/1982

Series 7

Date: 7/17/1982

Current Firm

INDEPENDENT FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT FINANCIAL SERVICES

TRUST BUT VERIFY

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