RR
Ralph J. Romano
CAPITAL SYNERGY PARTNERS
Highland Park, IL
Some features on this profile are disabled
CRD#: 812348
RR
Professional summary
Ralph James Romano is a registered financial advisor currently at CAPITAL SYNERGY PARTNERS located in Highland Park, Illinois.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Ralph has worked at 14 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
EXECUTIVE PLANNING GROUP, LLC 980 VILLAS COURT HIGHLAND PARK, IL 60035 OWNER/FIXED INSURANCE EFFECTIVE: 12/2018 40 HOURS PER MONTH/20 HOURS PER MONTH DURING MARKET HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Ralph James Romano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph James 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
January 14, 2021 - Present
CAPITAL SYNERGY PARTNERS
RIA
BD
CRD#: 148733
Highland Park, IL
Current
January 14, 2021 - Present
CAPITAL SYNERGY PARTNERS
RIA
BD
CRD#: 148733
Highland Park, IL
Past
May 21, 2018 - December 31, 2020
SPC
RIA
CRD#: 110692
Deerfield, IL
Past
December 1, 2017 - April 2, 2018
SPC
RIA
CRD#: 110692
Deerfield, IL
Past
December 1, 2017 - December 31, 2020
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
Deerfield, IL
Past
May 20, 2015 - June 21, 2017
TLG ADVISORS, INC.
RIA
CRD#: 111052
DEERFIELD, IL
Past
February 4, 2015 - June 21, 2017
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
July 8, 2013 - December 19, 2014
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
MT PROSPECT, IL
Past
June 28, 2013 - December 19, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
MT PROSPECT, IL
Past
October 7, 2005 - May 9, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NORTHBROOK, IL
Past
April 11, 2005 - May 9, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
NORTHBROOK, IL
Past
June 30, 2004 - April 13, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
DEERFIELD, IL
Past
June 30, 2004 - April 13, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 20, 1999 - June 22, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
ROSEMONT, IL
Past
August 6, 1997 - June 22, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
January 20, 1997 - August 6, 1997
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
March 9, 1995 - December 31, 1996
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
January 29, 1981 - February 8, 1995
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
September 17, 1975 - March 17, 1981
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
September 17, 1975 - March 17, 1981
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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(9/5/2025)
IAR
California(1/14/2021)
RR
California(1/15/2021)
RR
Colorado(3/2/2021)
RR
Illinois(1/14/2021)
RR
New York(8/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/12/1975
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
CS
CAPITAL SYNERGY PARTNERS
CAPITAL SYNERGY PARTNERS | CAPITAL SYNERGY PARTNERS, INC.
CRD#: 148733 / SEC#: 801-117828, 8-68060
RIA
Registered Investment Advisory firm - SEC (5/11/2020 Terminated)Arizona
Registered Investment Advisory firm - SEC (4/4/2013 Approved)Arkansas
Registered Investment Advisory firm - SEC (5/27/2011 Approved)California
Registered Investment Advisory firm - SEC (5/23/2011 Approved)Colorado
Registered Investment Advisory firm - SEC (11/5/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (7/9/2018 Approved)District of Columbia
Registered Investment Advisory firm - SEC (5/5/2011 Approved)Florida
Registered Investment Advisory firm - SEC (10/10/2017 Approved)Georgia
Registered Investment Advisory firm - SEC (4/28/2011 Approved)Idaho
Registered Investment Advisory firm - SEC (6/24/2011 Approved)Indiana
Registered Investment Advisory firm - SEC (6/24/2013 Approved)Iowa
Registered Investment Advisory firm - SEC (5/26/2011 Approved)Louisiana
Registered Investment Advisory firm - SEC (1/10/2013 Approved)Massachusetts
Registered Investment Advisory firm - SEC (9/26/2011 Approved)Michigan
Registered Investment Advisory firm - SEC (1/18/2018 Approved)Minnesota
Registered Investment Advisory firm - SEC (3/10/2015 Approved)Missouri
Registered Investment Advisory firm - SEC (8/10/2018 Approved)Montana
Registered Investment Advisory firm - SEC (12/22/2010 Approved)Nebraska
Registered Investment Advisory firm - SEC (2/24/2012 Approved)Nevada
Registered Investment Advisory firm - SEC (6/28/2012 Approved)New Jersey
Registered Investment Advisory firm - SEC (3/29/2011 Approved)North Carolina
Registered Investment Advisory firm - SEC (10/12/2011 Approved)Ohio
Registered Investment Advisory firm - SEC (1/6/2012 Approved)Oklahoma
Registered Investment Advisory firm - SEC (3/9/2018 Approved)Oregon
Registered Investment Advisory firm - SEC (6/23/2015 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (3/5/2012 Approved)South Carolina
Registered Investment Advisory firm - SEC (10/5/2011 Approved)Texas
Registered Investment Advisory firm - SEC (10/26/2016 Approved)Wisconsin
Registered Investment Advisory firm - SEC (8/1/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7413
Established
California since 01/14/1999
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
21
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
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.
