MR
Michael F. Roan
ST. BERNARD FINANCIAL SERVICES
Russellville, AR 72801
Some features on this profile are disabled
CRD#: 1478090
MR
Professional summary
Michael F Roan, who also goes by Michael Francis Roan, Michael Roan, is a registered financial professional currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Russellville, Arkansas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Francis Roan | Michael Roan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)05/18/2022 - HarborOne Investment Services -Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2)05/18/2022 - No Business Name -Investment Related - Home Based - Real Estate Rental - owner - Start Date - 06/01/2004 - 2 Hours Per Month
CRS (Client Relationship Summary) - BD
Click below to view Michael F Roan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 10, 2023 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 1609 West Main St, Russellville, AR 72801Office #2: 1609 West Main St., Russellville, AR 72801RIA
BD
CRD#: 36956
Russellville, AR
Past
May 18, 2022 - June 2, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
Cranston, RI
Past
May 18, 2022 - June 2, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
Cranston, RI
Past
November 1, 2016 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Cranston, RI
Past
October 23, 2016 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Cranston, RI
Past
October 13, 2015 - October 5, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
January 31, 2011 - February 23, 2015
BTS SECURITIES CORPORATION
BD
CRD#: 8328
LINCOLN, MA
Past
October 14, 2009 - May 7, 2010
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
FRAMINGHAM, MA
Past
April 1, 2006 - July 22, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NORFOLK, MA
Past
August 11, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
November 26, 2002 - August 4, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
March 18, 1999 - November 22, 2002
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
January 31, 1996 - May 18, 1998
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
March 25, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
February 3, 1994 - March 26, 1994
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
December 5, 1992 - January 1, 1994
SOMERSET SECURITIES, INC.
BD
CRD#: 2493
PORTLAND, OR
Past
May 13, 1991 - October 21, 1991
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
December 5, 1989 - April 24, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 8, 1989 - February 22, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
April 28, 1986 - February 25, 1989
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(5/10/2023)
RR
Maine(4/23/2024)
RR
Massachusetts(5/10/2023)
RR
New Hampshire(9/12/2025)
RR
Rhode Island(5/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956Russellville, AR 72801TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
