Lois R. 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.
Lois Rhoda Roman, who also goes by Lois R Friedman, Lois Rhoda Friedman, was a registered financial professional .
Lois is a previously registered financial professional and started their career in finance in 1987. Lois had worked at 7 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2005 - February 23, 2012
BESSEMER INVESTOR SERVICES, INC.
July 21, 2003 - June 10, 2005
OCC DISTRIBUTORS LLC
April 6, 1994 - June 4, 2003
DEAM INVESTOR SERVICES, INC.
August 1, 1991 - March 11, 1994
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 30, 1988 - February 12, 1991
STECHLER & COMPANY, INCORPORATED
May 14, 1988 - July 11, 1988
LEHMAN BROTHERS INC.
July 7, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
January 29, 1987 - July 11, 1988
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
BESSEMER INVESTOR SERVICES, INC.
CRD#: 17442 / SEC#: , 8-35199
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BESSEMER TRUST COMPANY, N.A. | SHAREHOLDER | |
| BOYLE, PATRICK SIDNEY | SENIOR VICE PRESIDENT | 2472066 |
| GLOWACKI, JEFF JOSEPH | DIRECTOR/SENIOR VICE PRESIDENT | 2942946 |
| GUPTA, RITU | CHIEF COMPLIANCE OFFICER/ASSISTANT SECRETARY | 5059699 |
| MARQUEZ, MICHAEL ALLEN | DIRECTOR/PRESIDENT | 4413060 |
| MCBRIDE, TIMOTHY SEAN | SENIOR VICE PRESIDENT | 2554176 |
| PEDROSO, ARTURO GUSTAVO | SENIOR VICE PRESIDENT | 5161708 |
| SCHLUSSELBERG, BRIAN SCOTT | SENIOR VICE PRESIDENT | 4716582 |
| SLOAN, BENJAMIN PERRY | SENIOR VICE PRESIDENT | 4243057 |
| SYMINGTON, JANE REILLY | SENIOR VICE PRESIDENT | 2520317 |
| TRIMARCO MIRANDO, DIANA | ASSISTANT TREASURER/ASSISTANT FINANCIAL & OPERATIONS PRINCIPAL | 5714209 |
| YAWORSKY, GEORGE M. | TREASURER/FINANCIAL & OPERATIONS PRINCIPAL | 6425195 |
Red Flags
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