George A. Roam
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.
George Allen Roam was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1984. George had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2015 - October 2, 2020
CAPITAL SYNERGY PARTNERS
January 2, 2013 - April 30, 2015
THE LEADERS GROUP, INC.
March 20, 2007 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
August 23, 2002 - March 11, 2005
SIGNATOR INVESTORS, INC.
September 12, 2001 - August 29, 2002
PRINCIPAL SECURITIES, INC.
May 23, 2000 - May 14, 2001
SLD AMERICA EQUITIES, INC.
January 16, 1986 - August 30, 1988
MUTUAL SERVICE CORPORATION
July 26, 1984 - January 15, 1986
TITAN/VALUE EQUITIES GROUP, 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
CAPITAL SYNERGY PARTNERS
CRD#: 148733 / SEC#: 801-117828, 8-68060
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 89,105,726 |
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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