Robert RomanCRD Number: 4480159
Current Firm: American Portfolios Advisors, Inc.
Robert Roman (CRD# 4480159) is an Investment Advisor Representative working at American Portfolios Advisors, Inc. in Holbrook, NY and has over 16 years of experience in the finance industry.
American Portfolios Advisors, Inc.
Scholtz & Co
Royal Alliance Associates, Inc.
|American Portfolios Financial Services, Inc.||Holbrook, NY||Jul 2014 - Current||3|
|Axa Advisors, LLC||New York, NY||Nov 2001 - Jul 2014||12|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
Total Assets Under Management3,158MILLIONS
Total Number of Accounts17,315ACCOUNTS
Average Account Value$182,412
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY