Career
Maria Romolo has been Chief Compliance Officer & Managing Counsel of Castlelake since December 2021. Maria Romolo is a control person of the firm and directly owns under 5% of it. Maria Romolo holds a JD from New York Law School and a BA in Political Science from George Washington University.
Castlelake, L.P. is a Minneapolis, MN firm with $35.3B under management, 50 clients and 98 advisers across 9 offices, as of its March 2026 filing.
Maria Romolo is Managing Counsel and Chief Compliance Officer at Castlelake. Her prior roles include compliance and legal positions at TD, Société Générale, Barclays, Lehman Brothers and the NYSE.
No adviser firm registrations are on Maria Romolo’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 14 | Compliance Officer Examination | 16 November 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Compliance Officer Examination
Individual record
- Full name
- Maria Rose Romolo
- CRD
- 4924084
- Firm bio
- castlelake.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Maria Romolo work?
Maria Romolo has been Chief Compliance Officer & Managing Counsel of Castlelake, L.P. since December 2021, and is a control person of the firm.
Does Maria Romolo have a current investment-adviser registration?
Maria Romolo has no current investment-adviser or broker registration.
What exams has Maria Romolo passed?
Maria Romolo passed the Series 14 in November 2009. FINRA credited Maria Romolo with the SIE, which began in October 2018.