John R. Romano

AJF CAPITAL MANAGEMENT

New York, NY 10017

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CRD#: 6351391

Professional summary

John Ralph Romano, who also goes by John Romano, is a registered financial advisor currently at AJF CAPITAL MANAGEMENT, INC. located in New York, New York and CAMBRIDGE INVESTMENT RESEARCH, INC. located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. John has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Romano

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.

02/2018 AJF Capital Management, Inc; New York; Portfolio Manager; Investment Related; approximately 140 of hours/month, all during securities trading hours; relationship management. 06/2018 American Portfolios Financial Services, Inc New York; Registered Representative; Investment Related; approximately 160 of hours/month, all during securities trading hours; recommendations, implementation and review

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ralph Romano'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

October 4, 2018 - Present

AJF CAPITAL MANAGEMENT, INC.

Office #1: 211 East 43rd St. Suite 2004, New York, NY 10017

RIA

CRD#: 126414

New York, NY

Current

November 15, 2024 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 211 East 43rd Street , New York, NY 10017

CRD#: 39543

New York, NY

Past

October 11, 2024 - November 21, 2024

OSAIC WEALTH, INC.

CRD#: 23131

NEW YORK, NY

Past

September 24, 2018 - October 3, 2018

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

June 20, 2018 - October 11, 2024

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

NEW YORK, NY

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".

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

New Jersey
(10/4/2018)

IAR

New York
(7/10/2021)

New York
(11/15/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/13/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

AJF CAPITAL MANAGEMENT, INC. | AJF FINANCIAL SERVICES, INC.

CRD#: 126414 / SEC#: 801-94167

RIA

Registered Investment Advisory firm - (4/24/2015 Approved)

New York

Registered Investment Advisory firm - (6/16/2015 Terminated)

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Contact information

Main Address

211 East 43rd St. Suite 2004, New York, NY 10017

Mailing Address

Phone number

(212) 779-0789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (11/14/2025)

Regulatory assets under management

Total Number of Accounts	540
AUM (Assets Under Management)	$ 178,528,881

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.

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Advisor Monitoring

Firm Stability Insights

John R. Romano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Ralph Romano's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC WEALTH, INC.

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AJF CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2018

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2018

FINRA

Current Firm

AJF CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AJF CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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