MR
Michael G. Romanello
INDEPENDENCE CAPITAL CO.
Westlake, OH 44145
Some features on this profile are disabled
CRD#: 4634521
MR
Professional summary
Michael G Romanello, who also goes by Michael G Romaniello, is a registered financial advisor currently at INDEPENDENCE CAPITAL CO., INC. located in Westlake, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Michael has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael G Romaniello
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.
Owner (PRO Financial Network), Fixed life, health, long term care, annuity & disability insurance, 24930 Detroit Rd Westlake OH 44145, Start 1/1/2003, 20 hrs/month, Compensation: Commission. Owner (bluestone Partners LLC), Mange building leases and rent, 24930 Detroit Rd Westlake OH 44145, 7/28/2017, 1 hr/month, Compensation: Rental Income. Partner (DJMG Properties LLC), Partner in real estate holding company, 24930 Detroit Rd Westlake OH 44145, started 8/30/2017, 1 hr/month, Compensation: none. Owner (MGR Properties LLC), Management company for real estate, 24930 Detroit Rd Westlake OH 44145, started 7/28/2017, 1 hr/month, Compensation: None. Owner (MGR Distributinos), Sales distributions company provide capital and expertise to start up businesses, 24930 Detroit Rd Westlake OH 44145, start 10/3/2018, 1 hr/month, Compensation: None. MassMutual Career Agent, life and disability sales, 24930 Detroit Rd Westlake OH 44145, started 2021, 50 hrs/month, Compensation: Commission. Owner/Partner MRDTTS LLC, Cannibis Production. 5579 Pearl Rd #100 Parma OH 44129, Started 2022, 0.5 hrs/month, Compensation: Dividends Charter Oak Financial, Life insurance sales, 330 Whitney Ave #600 Holyoke MA 01040, started 2021, 5 hrs/month, Compensation: Commission Author, Wrote a book available on Amazon, 24390 Detroit Rd Westlake OH 44145, Started 2020, 0 hrs/month, Compensation: None
CRS (Client Relationship Summary) - RIA
Click below to view Michael G Romanello's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael G Romanello'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
May 24, 2019 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 29430 Detroit Rd, Westlake, OH 44145Office #2: 24930 Detroit, Westlake, OH 44145RIA
BD
CRD#: 24723
Westlake, OH
Current
May 23, 2019 - Present
INDEPENDENCE CAPITAL CO., INC.
Office #1: 29430 Detroit Rd, Westlake, OH 44145RIA
BD
CRD#: 24723
Westlake, OH
Past
January 22, 2016 - May 24, 2019
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
ROCKY RIVER, OH
Past
January 6, 2012 - May 24, 2019
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
WESTLAKE, OH
Past
June 16, 2009 - December 31, 2011
INDEPENDENCE CAPITAL CO., INC.
RIA
CRD#: 24723
PARMA, OH
Past
January 3, 2007 - December 31, 2011
INDEPENDENCE CAPITAL CO., INC.
BD
CRD#: 24723
PARMA, OH
Past
January 14, 2005 - December 31, 2006
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
WESTLAKE, OH
Past
May 18, 2004 - December 31, 2004
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 9, 2003 - May 17, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 9, 2003 - May 17, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
Arizona(5/23/2019)
RR
Florida(5/23/2019)
RR
Georgia(5/23/2019)
RR
Illinois(1/5/2022)
RR
Kentucky(9/14/2023)
RR
Maryland(7/2/2020)
RR
Michigan(12/17/2019)
RR
North Carolina(5/23/2019)
RR
Ohio(5/23/2019)
IAR
Ohio(5/24/2019)
RR
Virginia(9/25/2023)
RR
Wisconsin(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IC
INDEPENDENCE CAPITAL CO., INC.
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Arizona
Registered Investment Advisory firm - SEC (10/26/2015 Approved)Florida
Registered Investment Advisory firm - SEC (1/2/2009 Approved)Indiana
Registered Investment Advisory firm - SEC (4/2/2013 Approved)Michigan
Registered Investment Advisory firm - SEC (1/5/2011 Approved)Ohio
Registered Investment Advisory firm - SEC (8/9/1999 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (1/3/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Mailing Address
5579 Pearl Road, Suite 100, Parma, OH 44129
Phone number
(440) 888-7000
Established
Ohio since 04/29/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
41
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
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.
