Roman Lipp
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roman Lipp JR, who also goes by Roman Jr Lipp, Roman Lipp, was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 1982. Roman had worked at 14 firms and has passed the Series 63, Series 72, Series 7TO, Series 79TO, SIE, Series 79, Series 5, Series 7, Series 3, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - May 26, 2021
UHLMANN PRICE SECURITIES, LLC
August 12, 2015 - October 10, 2017
HSBC SECURITIES (USA) INC.
March 7, 2011 - August 26, 2014
SCOTIA CAPITAL (USA) INC.
May 27, 2009 - October 22, 2010
BTIG, LLC
July 8, 2008 - April 8, 2009
FUNDS PLACEMENT GROUP, LLC
July 16, 2001 - November 28, 2007
BANC OF AMERICA SECURITIES LLC
January 10, 2001 - July 24, 2001
J.P. MORGAN SECURITIES INC.
November 25, 1992 - May 1, 2001
JPMSI
March 11, 1992 - December 4, 1992
UBS SECURITIES LLC
June 14, 1990 - July 26, 1991
LEHMAN SPECIAL SECURITIES INC.
June 14, 1990 - July 26, 1991
LEHMAN GOVERNMENT SECURITIES INC.
June 14, 1990 - July 26, 1991
LEHMAN BROTHERS INC.
April 6, 1987 - March 21, 1990
J.P. MORGAN SECURITIES LLC
September 24, 1982 - March 21, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 7TO
Date: 7/28/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/28/2022
Investment Banking Registered Representative ExaminationSeries 5
Date: 12/6/1982
Interest Rate Options ExaminationSeries 8
Date: 2/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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