Angelo E. Roman

ROMAN WEALTH MANAGEMENT

Mount Juliet, TN

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CRD#: 1989113

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.

Board President for the Joe Beretta Heart Foundation, a 501(c)(3). He spends approximately 15-20 hours a month on this activity. Business Name: ROMAN WEALTH MANAGEMENTT, LLC POSITION: Owner NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/27/2023 ADDRESS: 895 Pleasant Grove Road, Mount Juliet TN 37122, United States DESCRIPTION: All duties and obligations pertinent to running an RIA business.

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

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

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

CRD#: 19616

DREXEL HILL, PA

Past

June 6, 2001 - October 11, 2001

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

September 18, 2000 - June 20, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

December 23, 1994 - October 16, 2000

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

January 6, 1993 - December 23, 1994

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

January 3, 1990 - March 8, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 25, 1989 - December 19, 1989

THE STUART-JAMES COMPANY, INCORPORATED

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)

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

IAR

Series 65

Date: 12/5/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/29/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/21/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/13/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/12/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 35,175,362

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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Advisor Monitoring

Firm Stability Insights

Angelo E. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angelo Edward Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

QUICK & REILLY, INC.

TUCKER ANTHONY INCORPORATED

PNC BROKERAGE CORP

PNC CAPITAL MARKETS LLC

MORGAN STANLEY DW INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2000

Series 63

Date: 10/23/1989

SIE

Date: 10/1/2018

Series 3

Date: 4/29/1991

Series 7

Date: 10/21/1989

Series 10

Date: 9/13/2002

Series 9

Date: 9/12/2002

Current Firm

ROMAN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROMAN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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