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Michael Romanoski

TRANSAMERICA RETIREMENT ADVISORS
Wellington, OH
Some features on this profile are disabled
CRD#: 2605871
MR

Professional summary

Michael Romanoski, who also goes by Michael John Romanoski, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Wellington, Ohio and TRANSAMERICA INVESTORS SECURITIES, LLC located in Brewster, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7, Series 14, Series 12, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael John Romanoski

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.
KORU FIBER & DAIRY; NOT INVESTMENT RELATED; 27550 CLARK RD., WELLINGTON, OH 44090; BREEDING AND SALE OF LIVESTOCK, FIBER, VALUE ADDED FARM PRODUCTS, KNITTING & SPINNING NOTIONS AND EDUCATION; OWNER/PARTNER; 10/2009; APPROX 40-50 HOURS PER MONTH - NONE DURING TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Romanoski'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 18, 2017 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Wellington, OH
Current

January 18, 2017 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Brewster, NY
Past

May 24, 2010 - December 14, 2016

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
N. OLMSTED, OH
Past

May 20, 2010 - December 14, 2016

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
N. OLMSTED, OH
Past

February 9, 2007 - June 13, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CLEVELAND, OH
Past

February 9, 2007 - June 13, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CLEVELAND, OH
Past

May 21, 2003 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

RIA
CRD#: 566
BEACHWOOD, OH
Past

October 23, 2000 - February 9, 2007

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

February 5, 1998 - October 20, 2000

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH

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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 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
Ohio
(1/18/2017)
IAR
Ohio
(1/18/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/26/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/11/1999
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/27/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/26/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 2/8/2002
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 12
Date: 3/5/2001
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/12/2000
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/20/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/5/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)
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Contact information

Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2025
Cover Page
Report
10/25/2024
Cover Page
Report
07/25/2023
Cover Page
Report

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.

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

CRD#: 107319Wellington, OH

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