Douglas J. Roman

GAMMA ASSET MANAGEMENT LLC

Bryn Mawr, PA

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CRD#: 1549538

Professional summary

Douglas James Roman is a registered financial advisor currently at GAMMA ASSET MANAGEMENT LLC located in Bryn Mawr, Pennsylvania.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Douglas has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Roman Realities is a real estate business and not investment related. Business location is 209 Cornell Drive, Bryn Mawr, PA. Nature of business is real estate. My position is co-owner. Date started was March 2020. Devote approx. five hours per month and zero hours during securities trading hours. As co-owner I hire maintenance personnel.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Roman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 2, 2022 - Present

GAMMA ASSET MANAGEMENT LLC

RIA

CRD#: 300050

Bryn Mawr, PA

Past

August 4, 2021 - November 1, 2021

LEGACY INVESTMENT ADVISORS, LLC

RIA

CRD#: 144477

MT. LAUREL, NJ

Past

September 23, 2002 - December 31, 2008

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

May 23, 2000 - July 12, 2002

EAST COAST CONSULTANTS, INC.

CRD#: 38380

MALVERN, PA

Past

September 3, 1996 - May 26, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

January 16, 1987 - April 19, 1989

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

August 21, 1986 - November 7, 1986

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

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".

GAMMA ASSET MANAGEMENT LLC

GAMMA ASSET MANAGEMENT LLC | GAMMA WEALTH MANAGEMENT, INC.

CRD#: 300050 / SEC#: 801-129754

RIA

Registered Investment Advisory firm - (3/27/2024 Approved)

Puerto Rico

Registered Investment Advisory firm - (3/27/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Puerto Rico
(2/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/14/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/9/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/4/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/17/2000

General Securities Principal Examination

Current Firm

GAMMA ASSET MANAGEMENT LLC

GAMMA ASSET MANAGEMENT LLC | GAMMA WEALTH MANAGEMENT, INC.

CRD#: 300050 / SEC#: 801-129754

RIA

Registered Investment Advisory firm - (3/27/2024 Approved)

Puerto Rico

Registered Investment Advisory firm - (3/27/2024 Terminated)

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Contact information

Main Address

Edificio Ochoa 500 Calle De La Tanca Suite 305, San Juan, PR 00901-1969

Mailing Address

Phone number

(787) 957-3260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAMMA ASSET MANAGEMENT, LLC. BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 269,236,959

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.

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Douglas J. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY INVESTMENT ADVISORS, LLC

PNC CAPITAL MARKETS LLC

EAST COAST CONSULTANTS, INC.

VANGUARD MARKETING CORPORATION

FRED ALGER & COMPANY, LLC

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

GAMMA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/1997

Series 65

Date: 6/9/1993

SIE

Date: 3/4/2022

Series 7

Date: 8/30/1996

Series 24

Date: 7/17/2000

Current Firm

GAMMA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GAMMA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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