Roman O. Petryszyn
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.
Roman Orest Petryszyn was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 1990. Roman had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2021 - July 17, 2024
IP FINANCIAL ADVISORY SERVICES LLC
June 11, 2021 - July 17, 2024
INNOVATION PARTNERS LLC
July 15, 2020 - June 28, 2021
SOVEREIGN GLOBAL ADVISORS LLC
May 26, 2005 - July 3, 2012
INDEPENDENT ADVISERS GROUP CORP
May 3, 2004 - July 1, 2020
OSAIC FS, INC.
May 3, 2004 - July 1, 2020
OSAIC FS, INC.
June 6, 2001 - March 5, 2004
EQUITABLE ADVISORS, LLC
November 16, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 16, 1990 - March 5, 2004
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
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
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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