Steven K. Romjue

RIDGECREST WEALTH PARTNERS

MILL VALLEY, CA

Some features on this profile are disabled

CRD#: 1822291

Professional summary

Steven Kent Romjue, who also goes by Steven K Romjue, Steve Romjue, is a registered financial advisor currently at RIDGECREST WEALTH PARTNERS, LLC located in Mill Valley, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Steven has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven K Romjue | Steve Romjue

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kent Romjue's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 7, 2021 - Present

RIDGECREST WEALTH PARTNERS, LLC

RIA

CRD#: 311984

MILL VALLEY, CA

Past

June 1, 2009 - December 7, 2020

MORGAN STANLEY

RIA

CRD#: 149777

MILL VALLEY, CA

Past

June 1, 2009 - December 7, 2020

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

July 8, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

July 29, 1994 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

May 26, 1988 - August 2, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

RIDGECREST WEALTH PARTNERS, LLC

CRD#: 311984 / SEC#: 801-120053

RIA

Registered Investment Advisory firm - (1/4/2021 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.

Highlighted states indicate IAR registrations

IAR

California
(10/18/2022)

IAR

Colorado
(8/15/2024)

IAR

Louisiana
(11/3/2021)

IAR

New York
(11/2/2021)

IAR

Texas
(11/2/2021)

IAR

Washington
(12/1/2021)

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: 5/18/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

Current Firm

RIDGECREST WEALTH PARTNERS, LLC

CRD#: 311984 / SEC#: 801-120053

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

851 Irwin St #225c, San Rafael, CA 94901

Mailing Address

35 Miller Ave #206, Mill Valley, CA 94941

Phone number

(415) 227-2881

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIDGECREST WEALTH PARTNERS DISCLOSURE BROCHURE (1/24/2025)

Regulatory assets under management

Total Number of Accounts	688
AUM (Assets Under Management)	$ 619,601,760

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven K. Romjue

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kent Romjue's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

RIDGECREST WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1988

Current Firm

RIDGECREST WEALTH PARTNERS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIDGECREST WEALTH PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors