Joseph W. Roman
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.
Joseph W Roman, who also goes by Joseph William Roman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2009 - June 5, 2020
CANTELLA & CO., INC.
July 31, 2009 - June 5, 2020
CANTELLA & CO., INC.
January 1, 2008 - August 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - August 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 12, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 11, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 16, 2001 - August 29, 2005
MORGAN STANLEY DW INC.
September 1, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
June 9, 1987 - September 8, 2000
A. G. EDWARDS & SONS, INC.
January 26, 1984 - June 19, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
