Michael Romig
Michael Romig is a registered investment advisor at Cetera Investment Advisers LLC, based in Mandeville, LA, with 38 years of industry experience. Michael operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Mandeville, LA
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Regulatory History (1)
Customer Dispute
December 2024Other Business ActivitiesSells Insurance
Michael is an agent selling non-variable life insurance through Romig Capital Affiliates Corporation since 2013. He also operates under the DBA Transform 401(k) for his LPL business, dedicating about half of his time to it overall, with slightly less time spent during securities trading hours.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Cetera Advisors LLC
Previous Registrations
LPL Financial LLC
Visionpoint Advisory Group
Level Four Advisory Services
LPL Financial LLCBroker
Rca Pension Advisors, LLC
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Fsc Securities CorporationBroker
Guardian Investor Services CorporationBroker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
Sma Equities, INC.Broker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.