Sharon R. Treiser
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.
Sharon Roman Treiser, who also goes by Sharon Eileen Roman, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1986. Sharon had worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, 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
December 6, 2023 - April 14, 2026
MANNING & NAPIER ADVISORS, LLC
August 31, 2023 - April 7, 2025
MANNING & NAPIER INVESTOR SERVICES, INC.
April 1, 2014 - September 3, 2021
J.P. MORGAN SECURITIES LLC
January 3, 2012 - March 18, 2014
PNC WEALTH MANAGEMENT LLC
January 3, 2012 - March 18, 2014
PNC WEALTH MANAGEMENT LLC
July 2, 2007 - July 8, 2010
BNY MELLON SECURITIES CORPORATION
July 2, 2007 - July 8, 2010
BNY MELLON SECURITIES CORPORATION
October 25, 2006 - July 2, 2007
MBSC, LLC
September 25, 2006 - July 2, 2007
MBSC, LLC
May 17, 2005 - August 2, 2005
NATIONAL PLANNING CORPORATION
April 29, 2005 - August 2, 2005
NATIONAL PLANNING CORPORATION
June 22, 2004 - May 3, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 16, 2004 - May 3, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - June 17, 2004
HBKS WEALTH ADVISORS
March 6, 2002 - May 18, 2004
CAP PRO BROKERAGE SERVICES, INC.
October 15, 1996 - March 11, 2002
SECURITIES AMERICA, INC.
July 31, 1993 - October 30, 1996
CITIGROUP GLOBAL MARKETS INC.
January 15, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
July 7, 1988 - January 14, 1993
HERITAGE INVESTMENT SECURITIES INC.
October 17, 1986 - June 7, 1988
NEWHARD, COOK & CO. INCORPORATED
April 14, 1986 - October 28, 1986
E. F. HUTTON & COMPANY INC
February 19, 1986 - March 25, 1986
WALL STREET CAPITAL CORPORATION
Primary Firm SEC Registration
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
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
Series 7TO
Date: 12/15/2022
General Securities Representative ExaminationCurrent Firm
MANNING & NAPIER ADVISORS, LLC
CRD#: 105992 / SEC#: 801-10733
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,279 |
| AUM (Assets Under Management) | $ 18,406,580,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/23/2024 | ||
| 12/21/2023 | ||
| 11/21/2022 |
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.
