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Ralph James Romano

Capital Synergy Partners
49 Years of Experience
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningFinancial Planning & Coaching
Capital Synergy Partners
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
23 advisors
Number of Clients
386 clients
Average Client Portfolio
$231K average
Assets Under Management
$89.1M

Fee Structure

Minimum Investment:$25K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $1.0M2.00%
$1M+1.75%

Fees may be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—

Location

Highland Park, IL

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2012
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ralph is the owner of Executive Planning Group, LLC, and sells fixed insurance products. He spends about a quarter of his time on this, with about 10-20% of his time during market hours.

Employment History
Current Registrations
Capital Synergy PartnersBroker
January 2021 - Present · 5 yrs 1 mo
Capital Synergy Partners
January 2021 - Present · 5 yrs 1 mo
Previous Registrations
Spc
May 2018 - December 2020 · 2 yrs 7 mos
Sigma Financial CorporationBroker
December 2017 - December 2020 · 3 yrs
Spc
December 2017 - April 2018 · 4 mos
Tlg Advisors, INC.
May 2015 - June 2017 · 2 yrs 1 mo
The Leaders Group, INC.Broker
February 2015 - June 2017 · 2 yrs 4 mos
Allstate Financial Services, LLCBroker
July 2013 - December 2014 · 1 yr 5 mos
Allstate Financial Advisors, LLC
June 2013 - December 2014 · 1 yr 6 mos
New England Securities Corporation
October 2005 - May 2013 · 7 yrs 7 mos
New England SecuritiesBroker
April 2005 - May 2013 · 8 yrs 1 mo
Linsco/private Ledger CORP.
June 2004 - April 2005 · 10 mos
Linsco/private Ledger CORP.Broker
June 2004 - April 2005 · 10 mos
Ws Griffith Securities, INC.
September 1999 - June 2004 · 4 yrs 9 mos
Ws Griffith Securities, INC.Broker
August 1997 - June 2004 · 6 yrs 10 mos
Princor Financial Services CorporationBroker
January 1997 - August 1997 · 7 mos
Mimlic Sales CorporationBroker
March 1995 - December 1996 · 1 yr 9 mos
Princor Financial Services CorporationBroker
January 1981 - February 1995 · 14 yrs 1 mo
John Hancock Distributors, INC.Broker
September 1975 - March 1981 · 5 yrs 6 mos
John Hancock Mutual Life Insurance CompanyBroker
September 1975 - March 1981 · 5 yrs 6 mos
State Registrations5 states
AZCACOILNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.