DR
Dominic R. Romano
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glassboro, NJ
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CRD#: 6438782
DR
Professional summary
Dominic Russell Romano, who also goes by Dominic R. Romano, Dominic Romano, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glassboro, New Jersey and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Vineland, New Jersey.
Dominic is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Dominic has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dominic R. Romano | Dominic 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.
1) ROMANO TAX AND BUSINESS CONSULTANTS LLC, 1138 E CHESTNUT AVE SUITE 2A VINELAND NJ 08360, 06/2020, EMPLOYEE, TAX PREPARATION, NIR, 40 HR/MO 8 HR/MO TRADING 2) ROMANO BUONADONNA FINANCIAL SERVICES LLC, 1138 E CHESTNUT AVE SUITE 2A VINELAND NJ 08360, 12/2022, OWNER, SECURITIES DBA, INV REL, 120 HR/MO 100 HR/MO TRADING 3) CIRA, Fairfield IA 52556, 12/2022, Investment Advisor Representative, manages client assets or prepares financial plans, INV-REL, 160 HO/MO 120 HR/MO TRADING 4) INTEGRITY WEALTH GROUP LLC, 1138 E CHESTNUT AVE SUITE 2A VINELAND NJ, 09/2023, Using a Trade Name/dba, INV REL, 1 HR/MO 1 HR/MO TRADING 5) AMICO INVESTMENTS LLC, MARIA FL 34142, 11/2023, OWNER, REAL ESTATE, NIR, 1 HR/MO 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Dominic Russell Romano'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
December 12, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 1138 E. Chestnut Ave., Ste. 2a, Vineland, NJ 08360RIA
CRD#: 134139
Glassboro, NJ
Current
December 9, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1138 E. Chestnut Ave., Ste. 2a , Vineland, NJ 08360BD
CRD#: 39543
Vineland, NJ
Past
January 13, 2016 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
Vineland, NJ
Past
October 15, 2015 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Vineland, NJ
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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
Colorado(12/17/2022)
RR
District of Columbia(12/9/2022)
RR
Nevada(12/9/2022)
RR
New Jersey(12/9/2022)
IAR
New Jersey(12/12/2022)
RR
New York(12/9/2022)
RR
Pennsylvania(12/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
