Herbert Roman (CRD# 6592460) is an Investment Advisor Representative working at Avantax Advisory Services in New City, NY and has over 7 years of experience in the finance industry.
CRD# 1420183
Financial Life Focus, LLC
CRD# 2708116
Park Avenue Securities LLC
CRD# 5146297
Origin Investment Advisory LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Avantax Investment Services Inc. | New City, NY | Jan 2024 - Current | < 1 |
| Avantax Insurance Agency, LLC | New City, NY | Jan 2024 - Current | < 1 |
| Avantax Advisory Services | New City, NY | Jan 2024 - Current | < 1 |
| Challenger Bay Corp. | Nyack, NY | Feb 2022 - Current | 2 |
| The Challengers Tour Corp. | Nyack, NY | May 2021 - Current | 3 |
| The Challengers Tour Corp | Nyack, NY | May 2021 - Current | 3 |
| Prudential Insurance Company Of America | New York, NY | Nov 2021 - Jan 2024 | 2 |
| Pruco Securities, LLC | New York, NY | Nov 2021 - Jan 2024 | 2 |
| Equity Services, Inc. | Montpelier, VT | Mar 2016 - Oct 2021 | 5 |
| Integrated Financial Concepts LLC | Staten Isalnd, NY | Oct 2014 - Oct 2021 | 7 |
| Buffalo Wold Wings | New York, NY | Feb 2014 - Jul 2015 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2016 |
- NY
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Total Assets Under Management41,696MILLIONS
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Total Number of Accounts131,534ACCOUNTS
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Average Account Value$316,996
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Other
- 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)
- Educational seminars/workshops
- Other
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
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