Michael R. Romig
Professional summary
Michael Ralph Romig, AIF®, who also goes by Mike Romig, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mandeville, Louisiana and CETERA ADVISORS LLC located in Gravepine, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ralph Romig's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2451 Grapevine Mills Cir Suite 545, Grapevine, TX 76051November 18, 2025 - Present
CETERA ADVISORS LLC
Office #1: 2451 W. Grapevine Mills Circle Suite 545, Gravepine, TX 76051February 5, 2021 - November 21, 2025
LPL FINANCIAL LLC
May 18, 2018 - February 24, 2021
BALEFIRE, LLC
August 29, 2013 - May 22, 2018
LEVEL FOUR ADVISORY SERVICES
August 21, 2013 - November 21, 2025
LPL FINANCIAL LLC
March 13, 2012 - October 8, 2013
RCA PENSION ADVISORS, LLC
August 13, 2002 - August 22, 2013
NATIONAL PLANNING CORPORATION
July 2, 2001 - August 22, 2013
NATIONAL PLANNING CORPORATION
February 22, 1997 - July 2, 2001
FSC SECURITIES CORPORATION
May 24, 1990 - February 7, 1997
GUARDIAN INVESTOR SERVICES LLC
November 19, 1989 - March 7, 1990
OSAIC WEALTH, INC.
March 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 17, 1987 - November 3, 1987
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2025)
(1/5/2026)
(11/21/2025)
(11/21/2025)
(11/23/2025)
(11/23/2025)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
Red Flags
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