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AR

Angelo E. Roman

ROMAN WEALTH MANAGEMENT
Mount Juliet, TN
Some features on this profile are disabled
CRD#: 1989113
AR

Professional summary

Angelo Edward Roman is a registered financial advisor currently at ROMAN WEALTH MANAGEMENT, LLC located in Mount Juliet, Tennessee.

Angelo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Angelo has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angelo Edward 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®
None

Experience

Current

March 23, 2023 - Present

ROMAN WEALTH MANAGEMENT, LLC

RIA
CRD#: 325020
Mount Juliet, TN
Past

November 4, 2016 - May 31, 2023

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Mount Juliet, TN
Past

November 4, 2016 - May 31, 2023

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Mount Juliet, TN
Past

October 21, 2011 - November 4, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CONSHOHOCKEN, PA
Past

October 21, 2011 - November 4, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CONSHOHOCKEN, PA
Past

January 21, 2004 - October 24, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
DREXEL HILL, PA
Past

September 28, 2001 - October 24, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
DREXEL HILL, PA
Past

June 6, 2001 - October 11, 2001

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

September 18, 2000 - June 20, 2001

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

December 23, 1994 - October 16, 2000

PNC BROKERAGE CORP

BD
CRD#: 34671
PITTSBURGH, PA
Past

January 6, 1993 - December 23, 1994

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
PITTSBURGH, PA
Past

January 3, 1990 - March 8, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 25, 1989 - December 19, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

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
Pennsylvania
(3/28/2023)
IAR
Tennessee
(3/23/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/5/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/23/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/29/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/13/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/12/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

RW
ROMAN WEALTH MANAGEMENT, LLC
ROMAN WEALTH MANAGEMENT, LLC

CRD#: 325020 / SEC#:

Pennsylvania
Registered Investment Advisory firm - (3/27/2023 Approved)
Tennessee
Registered Investment Advisory firm - (3/22/2023 Approved)
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Contact information

Main Address
Mount Juliet, TN
Mailing Address
Phone number
(615) 455-5796
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts116
AUM (Assets Under Management)$ 34,621,798

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

ROMAN WEALTH MANAGEMENT, LLC

CRD#: 325020Mount Juliet, TN

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