LR
Laura E. Roman
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 1864861
LR
Professional summary
Laura Elizabeth Roman, AIF®, who also goes by Lara Roman, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Laura is registered as a RR (Registered Representative) and started their career in finance in 1990. Laura has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lara Roman
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Laura Elizabeth Roman'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®
Experience
Current
August 7, 2013 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
January 3, 2012 - March 20, 2013
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
SAN FRANCISCO, CA
Past
July 27, 2001 - July 12, 2013
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
October 23, 2000 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
NEW YORK, NY
Past
October 23, 1996 - October 19, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
March 3, 1994 - October 10, 1996
FLAGSHIP FUNDS INC.
BD
CRD#: 13420
DAYTON, OH
Past
January 17, 1990 - November 19, 1993
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
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
Alabama(8/15/2013)
RR
Alaska(8/9/2013)
RR
Arizona(8/23/2013)
RR
Arkansas(8/9/2013)
RR
California(8/7/2013)
RR
Colorado(8/12/2013)
RR
Connecticut(8/8/2013)
RR
Delaware(8/8/2013)
RR
District of Columbia(8/16/2013)
RR
Florida(8/8/2013)
RR
Georgia(8/7/2013)
RR
Hawaii(8/29/2013)
RR
Idaho(8/7/2013)
RR
Illinois(8/7/2013)
RR
Indiana(8/14/2013)
RR
Iowa(8/6/2013)
RR
Kansas(8/8/2013)
RR
Kentucky(8/9/2013)
RR
Louisiana(8/15/2013)
RR
Maine(8/7/2013)
RR
Maryland(8/9/2013)
RR
Massachusetts(8/8/2013)
RR
Michigan(8/9/2013)
RR
Minnesota(8/12/2013)
RR
Mississippi(8/9/2013)
RR
Missouri(8/8/2013)
RR
Montana(8/7/2013)
RR
Nebraska(8/13/2013)
RR
Nevada(8/12/2013)
RR
New Hampshire(8/9/2013)
RR
New Jersey(8/9/2013)
RR
New Mexico(8/9/2013)
RR
New York(8/9/2013)
RR
North Carolina(8/7/2013)
RR
North Dakota(8/9/2013)
RR
Ohio(8/7/2013)
RR
Oklahoma(8/12/2013)
RR
Oregon(8/8/2013)
RR
Pennsylvania(8/8/2013)
RR
Puerto Rico(8/8/2013)
RR
Rhode Island(8/8/2013)
RR
South Carolina(8/13/2013)
RR
South Dakota(8/9/2013)
RR
Tennessee(8/12/2013)
RR
Texas(8/16/2013)
RR
Utah(8/7/2013)
RR
Vermont(8/12/2013)
RR
Virginia(8/7/2013)
RR
Washington(8/9/2013)
RR
West Virginia(8/22/2013)
RR
Wisconsin(8/9/2013)
RR
Wyoming(8/7/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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