Mark E. Romin

LAKESHORE FINANCIAL PLANNING

Saint Clair Shores, MI 48080

Some features on this profile are disabled

CRD#: 4778614

Professional summary

Mark Edward Romin, CFP®, who also goes by Mark E Romin, is a registered financial advisor currently at LAKESHORE FINANCIAL PLANNING INC. located in Saint Clair Shores, Michigan.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Mark has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark E Romin

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.

Name of Business : Lakeshore Financial Services - Address: Saint Clair Shores, MI - Nature of the Business: Support Company/DBA (Non-Owner) - Position/Title: Support Company/DBA (Non-Owner) - Investment Related: No - Start Date: 04/01/2018 - Hours per month devoted to this business: 0 - Hours per month devoted to this business during trading hours: 0 - Description of duties: Social media input

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Romin'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

November 19, 2018 - Present

LAKESHORE FINANCIAL PLANNING INC.

Office #1: 23201 Jefferson Ave, Saint Clair Shores, MI 48080

RIA

CRD#: 299129

Saint Clair Shores, MI

Past

February 6, 2013 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SAINT CLAIR SHORES, MI

Past

July 24, 2012 - December 31, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. CLAIR SHORES, MI

Past

August 6, 2010 - August 3, 2011

EDWARD JONES

RIA

CRD#: 250

NORTH AURORA, IL

Past

July 22, 2010 - August 3, 2011

EDWARD JONES

CRD#: 250

NORTH AURORA, IL

Past

September 4, 2006 - April 17, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BARRINGTON, IL

Past

August 28, 2006 - April 17, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BARRINGTON, IL

Past

June 23, 2004 - June 6, 2005

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

FULTON, IL

Past

March 26, 2004 - June 6, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

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".

LAKESHORE FINANCIAL PLANNING INC.

CRD#: 299129 / SEC#: 801-114302

RIA

Registered Investment Advisory firm - (11/19/2018 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

Michigan
(11/19/2018)

IAR

Texas
(11/19/2018)

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

IAR

Series 66

Date: 8/5/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/2004

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: 7/21/2010

General Securities Representative Examination

Current Firm

LAKESHORE FINANCIAL PLANNING INC.

CRD#: 299129 / SEC#: 801-114302

RIA

Registered Investment Advisory firm - (11/19/2018 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

23201 Jefferson Ave, Saint Clair Shores, MI 48080

Mailing Address

Phone number

(586) 498-0788

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAKESHORE FINANCIAL PLANNING INC. ADV PART 2A (2/12/2025)

Regulatory assets under management

Total Number of Accounts	1,290
AUM (Assets Under Management)	$ 403,649,716

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

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

John Lappin

PFS INVESTMENTS INC.

Troy, MI

Avery Marsh

PFS INVESTMENTS INC.

Troy, MI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark E. Romin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Edward Romin's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

LAKESHORE FINANCIAL PLANNING INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/5/2010

Series 65

Date: 5/28/2004

Series 63

Date: 3/31/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2010

Current Firm

LAKESHORE FINANCIAL PLANNING INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAKESHORE FINANCIAL PLANNING INC.

TRUST BUT VERIFY

Similar Advisors