Roberto RomanCRD Number: 4609381
Current Firm: Legacy Private Client Group, Inc.
Roberto Roman (CRD# 4609381) is an Investment Advisor Representative working at Legacy Private Client Group, Inc. in Newport Beach, CA and has over 11 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
Rs Crum Inc.
|Mgo Wealth Advisors, LLC||Newport Beach, CA||Jul 2016 - Current||1|
|Legacy Private Client Group, Inc.||Irvine, CA||Nov 2011 - Jul 2016||4|
|Morgan Stanley Smith Barney||Irvine, CA||Sep 2009 - Nov 2011||2|
|Ubs Financial Services Inc.||Newport Beach, CA||Aug 2007 - Sep 2009||2|
|Wachovia Securities Financial Network, Llc (11025)||Irvine, CA||Feb 2007 - Aug 2007||< 1|
|Ubs Financial Services (8174)||Newport Beach, CA||Mar 2000 - Feb 2007||6|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2005|
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:
- Customer Dispute
Total Assets Under Management111MILLIONS
Total Number of Accounts481ACCOUNTS
Average Account Value$229,736
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients