RS
Ronald C. Shih
HIGHPOINT PLANNING PARTNERS
CHICAGO, IL 60605
Some features on this profile are disabled
CRD#: 1336886
RS
Professional summary
Ronald Cheong Ming Shih is a registered financial advisor currently at HIGHPOINT PLANNING PARTNERS located in Chicago, Illinois and LPL FINANCIAL LLC located in Rosemont, Illinois.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Ronald has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1. 05/09/2014 - RSM FINANCIAL SOLUTIONS/ DBA ONLY/ 100%/ ROSEMONT, IL 2. 05/09/2014 - EUGENE COHEN AGENCY/ FIXED INSURANCE SALES/ 10%/ ROSEMONT, IL 3. 05/09/2014 - MIDWEST CERTIFIED INSURANCE/ FIXED INSURANCE SALES/ 5%/ ROSEMONT, IL 4. 05/09/2014 - CRUMP INSURANCE AGENCY/ FIXED INSURANCE SALES/ 10%/ ROSEMONT, IL 5. 9/21/2021 - HighPoint Planning Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/26/2021. 6. 9/23/2021 - HighPoint Advisor Group, LLC - DBA: (Hybrid) Highpoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/26/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through HighPoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 08/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Cheong Ming Shih'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®
NoneExperience
Current
November 16, 2021 - Present
HIGHPOINT PLANNING PARTNERS
Office #1: 1136 South Delano Ct W Suite 201, Chicago, IL 60605Office #2: 5600 North River Road Suite 800, Rosemont, IL 60018RIA
CRD#: 316636
CHICAGO, IL
Current
May 9, 2014 - Present
LPL FINANCIAL LLC
Office #1: 5600 N River Rd, Ste 800, Rosemont, IL 60018Office #2: 1200 W 35th St Unit 3e1045, Chicago, IL 60609RIA
BD
CRD#: 6413
ROSEMONT, IL
Past
August 27, 2021 - December 31, 2021
HIGHPOINT PLANNING PARTNERS
RIA
CRD#: 163768
Rosemont, IL
Past
May 20, 2014 - August 27, 2021
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
Rosemont, IL
Past
April 14, 2004 - May 21, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
CHICAGO, IL
Past
February 19, 2004 - May 21, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
CHICAGO, IL
Past
February 2, 2000 - February 27, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
CHICAGO, IL
Past
July 23, 1999 - February 27, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 24, 1997 - July 26, 1999
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
October 30, 1986 - March 24, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
October 11, 1985 - November 3, 1986
NEW ENGLAND SECURITIES
BD
CRD#: 615
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
Registered Investment Advisory firm - (10/29/2021 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/9/2014)
RR
Florida(5/9/2014)
RR
Illinois(5/9/2014)
IAR
Illinois(11/16/2021)
RR
Indiana(5/9/2014)
RR
Iowa(10/21/2024)
RR
Massachusetts(1/6/2015)
RR
Michigan(5/9/2014)
RR
Ohio(1/2/2020)
RR
Texas(10/25/2025)
RR
Wisconsin(3/4/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HIGHPOINT PLANNING PARTNERS
ASPIRE DIVORCE SOLUTIONS, LLC | VERTEX PLANNING PARTNERS, LLC | VANTAGE FINANCIAL | VANDERVOORN & ASSOC | TWG WEALTH PLANNING | TWG BENEFITS | TOMORROW'S WEALTH PLANNING | THE ASSOCIATES GROUP | STONEBRIDGE WEALTH ADVISORS | SHAMROCK FINANCIAL PLANNING | SANSONE & ASSOCIATES, P.C. | SAFE HARBOR RETIREMENT CONSULTANTS, LLC | SA PIGGUSH BUSINESS & RETIREMENT PLANNING | RSM FINANCIAL SOLUTIONS | ROUND HILL WEALTH MANAGEMENT | ROGER J. ENSMINGER & ASSOCIATES | R. KNAPP FINANCIAL INC | PROFESSIONAL WEALTH ADVISORS LLC | PARTNERS ADVISORS LTD. | ONPATH FINANCIAL, LLC | MIKE LYNCH, INC. | MIDWEST FAMILY WEALTH MANAGEMENT | MCCABE FINANCIAL GROUP | LPL FINANCIAL | LLOYD WEALTH ADVISORS | KENNEDY FINANCIAL GROUP | KELLER PETERSON WEALTH ADVISORS, LLC | KEITH E. MURPHY | J. KAHN & ASSOCIATES LLC | INTRINSIC WEALTH MANAGEMENT | INDIGO WEALTH ADVISORS | HIGHPOINT PLANNING PARTNERS | HIGHPOINT ADVISOR GROUP, LLC | HIGHPOINT ADVISOR GROUP | G/R WEALTH MANAGEMENT GROUP LLC | FRICK INVESTMENT GROUP | FINANCIAL PLANNING FOR GENERATION X | EQUILIBRIUM WEALTH MANAGEMENT | ELEVATION WEALTH MANAGEMENT | EINSPAR FAMILY FINANCIAL | EBERLIN FINANCIAL SERVICES | DOAK FINANCIAL, LLC | CORE WEALTH PLANNING | CHASE ENTERPRISES FINANCIAL | CB3 FINANCIAL GROUP INC. | BLACK DIAMOND PLANNERS | BENEFIT PARTNERS FINANCIAL GROUP | ASPIRE PLANNING GROUP LLC
CRD#: 316636 / SEC#: 801-122583
RIA
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Contact information
Main Address
2651 Warrenville Road Suite 200, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 719-9222
Established
Firm type
Fiscal year end
# of Employees
104
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,813 |
| AUM (Assets Under Management) | $ 3,999,000,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
