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ER

Ernest J. Romer

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CRD#: 2311741
ER

Professional summary

Ernest Julius Romer III was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ernest is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Ernest had worked at 9 firms, which includes CORECAP INVESTMENTS LLC, L.M. KOHN & COMPANY, LEONARD & COMPANY, COMERICA SECURITIES, NATCITY INVESTMENTS INC., NATCITY INSURANCE SERVICES INC., INDEPENDENCE ONE BROKERAGE SERVICES INC., SIGMA FINANCIAL CORPORATION, PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 22, 2012 - January 27, 2017

CORECAP INVESTMENTS, LLC

BD
CRD#: 37068
STERLING HEIGHTS, MI
Past

July 20, 2012 - October 19, 2012

L.M. KOHN & COMPANY

BD
CRD#: 27913
STERLING HEIGHTS, MI
Past

December 7, 2005 - July 23, 2012

LEONARD & COMPANY

BD
CRD#: 36527
STERLING HEIGHTS, MI
Past

September 3, 2004 - December 20, 2005

COMERICA SECURITIES

RIA
CRD#: 17079
WARREN, MI
Past

February 3, 1999 - December 20, 2005

COMERICA SECURITIES

BD
CRD#: 17079
WARREN, MI
Past

April 23, 1998 - November 13, 1998

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

December 5, 1995 - November 16, 1998

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

January 13, 1994 - December 6, 1995

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

BD
CRD#: 17529
FARMINGTON HILLS, MI
Past

November 29, 1993 - December 18, 1993

SIGMA FINANCIAL CORPORATION

BD
CRD#: 14303
ANN ARBOR, MI
Past

April 7, 1993 - November 1, 1993

PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.

BD
CRD#: 13741
EL PASO, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/1/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/1/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/1993
General Securities Representative Examination

Current Firm

CI
CORECAP INVESTMENTS, LLC
ADVANTAGE BENEFITS AND RETIREMENT | WINGARD FINANCIAL GROUP | WINDSOR, SHEFFIELD & CO., INC. | WINDSOR SHEFFIELD & CO., INC. | TLC INSURANCE | TALLOU FINANCIAL SERVICES | STRANG ASSOCIATES | STIVERS FINANCIAL | SPARTAN FINANCIAL GROUP | SOLOMON FINANCIAL | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIMASKO FINANCIAL | RUCKER FINANCIAL GROUP | RONNIE BROUSSARD & ASSOCIATES | ROMAIN FINANCIAL | PHARR FINANCIAL GROUP | PETTIFORD FINANCIAL & WEALTH MANAGEMENT | PATHWAY FINANCIAL GROUP | NJ RETIREMENT PLANNING, LLC | MICHAEL T GROVES FINANCIAL | MANNOR FINANCIAL GROUP | LOVELESS FINANCIAL GROUP, LLC | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | JOHN NELSON FINANCIAL | HAROLD THOMAS FINANCIAL GROUP, LLC | GILLIKIN & ASSOCIATES | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | EVERLAST FINANCIAL GROUP | ESPERO & PARTNERS | DWORETSKY FINANCIAL | CREATIVE FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL | CORECAP INVESTMENTS, LLC | CORECAP INVESTMENTS, INC. | COOPER, ADEL, VU FINANCIAL | CONNERS WEALTH MANAGEMENT | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | BELLFLOWER FINANCIAL GROUP, LLC | AZOURY & ASSOCIATES | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP

CRD#: 37068 / SEC#: , 8-47783

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Phone number
(888) 296-3360
Established
Delaware since 04/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CORE CAPITAL HOLDINGS, LLCPARENT COMPANY
MUNCIE, DAVID WAYNECHIEF FINANCIAL OFFICER & POO1802808
PETERS, ROBERT WILLIAMFINOP1704577
RUMLER, CRAIG DAVIDCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER
STEENO, JASON RAYMONDPRESIDENT2733742

Disclosures

Regulatory Event8
Arbitration1

Red Flags

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

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Company Information

CORECAP INVESTMENTS, LLC

CRD#: 37068

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