Christopher RomanCRD Number: 4571962
Current Firm: Wells Fargo Clearing Services, LLC
Christopher Roman (CRD# 4571962) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Seminole, FL and has over 15 years of experience in the finance industry. Christopher Roman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Wells Fargo Clearing Services, LLC||Tampa, FL||Nov 2016 - Current||1|
|Wells Fargo Advisors LLC||Tampa, FL||May 2009 - Nov 2016||7|
|Wachovia Securities, LLC||Tampa, FL||Oct 2006 - May 2009||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 2002|
- Customer Dispute
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription 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)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, VI, VT, WA, WI, WV, WY