Emilio I. De San 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.
Emilio Isbrand De San Roman, who also goes by Emilio I Desanroman, Emilio Isbrand Desanroman, Emilio Isbrano Desanroman, Emilio Isbrano Desanromanhofstra, was a registered financial professional .
Emilio is a previously registered financial professional and started their career in finance in 1988. Emilio had worked at 8 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2008 - May 2, 2014
UNIVERSAL FINANCIAL SERVICES INC.
April 24, 2007 - November 5, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 3, 2001 - March 21, 2006
OSAIC FS, INC.
June 18, 2001 - September 7, 2001
VOYA FINANCIAL ADVISORS, INC.
July 26, 1999 - March 16, 2001
VOYA FINANCIAL ADVISORS, INC.
January 26, 1998 - September 9, 1999
WALNUT STREET SECURITIES, INC.
July 3, 1997 - December 31, 1997
WALNUT STREET SECURITIES, INC.
January 29, 1991 - October 30, 1996
NEW ENGLAND SECURITIES
November 21, 1989 - January 30, 1991
EQUITABLE ADVISORS, LLC
October 7, 1988 - January 30, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
UNIVERSAL FINANCIAL SERVICES INC.
CRD#: 131558 / SEC#: 801-121280, 8-66481
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
UNIVERSAL FINANCIAL SERVICES INC.
CRD#: 131558 / SEC#: 801-121280, 8-66481
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 337,465,712 |
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.
