John D. Roman

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CRD#: 2251851

Professional summary

John David Roman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, John had worked at 13 firms, which includes HAMPTON CAPITAL MANAGEMENT CORP., WINCHESTER INVESTMENT SECURITIES INC., WISE CHOICE DISCOUNT BROKERAGE INC., MEYERS POLLOCK ROBBINS INC., FIRST MADISON SECURITIES INC., INVESTACORP INC., ROUND HILL SECURITIES INC., ROYAL PALM INVESTMENTS LTD., FAB SECURITIES OF AMERICA INC., COLIN WINTHROP & CO. INC., M. RIMSON & CO. INC., CHATFIELD DEAN & CO. INC., QUEST CAPITAL STRATEGIES INC..

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 10, 1997 - October 27, 1997

HAMPTON CAPITAL MANAGEMENT CORP.

CRD#: 26109

STAMFORD, CT

Past

October 7, 1996 - December 23, 1996

WINCHESTER INVESTMENT SECURITIES, INC.

CRD#: 28543

OVERLAND PARK, KS

Past

July 29, 1996 - March 17, 1998

WISE CHOICE DISCOUNT BROKERAGE, INC.

CRD#: 39924

NEW YORK, NY

Past

May 10, 1996 - August 5, 1996

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

January 11, 1996 - February 6, 1996

FIRST MADISON SECURITIES, INC.

CRD#: 38820

BOCA RATON, FL

Past

December 5, 1995 - December 19, 1995

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

March 30, 1995 - May 11, 1995

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

February 13, 1995 - March 31, 1995

ROYAL PALM INVESTMENTS, LTD.

CRD#: 28761

GREEN ACRES, FL

Past

July 21, 1994 - February 7, 1995

ROYAL PALM INVESTMENTS, LTD.

CRD#: 28761

GREEN ACRES, FL

Past

April 29, 1994 - July 22, 1994

FAB SECURITIES OF AMERICA, INC.

CRD#: 28212

NEW YORK, NY

Past

March 28, 1994 - May 5, 1994

COLIN WINTHROP & CO., INC.

CRD#: 26012

JERICHO, NY

Past

January 1, 1994 - March 18, 1994

M. RIMSON & CO., INC.

CRD#: 5250

NEW YORK, NY

Past

February 22, 1993 - May 7, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

June 22, 1992 - March 8, 1993

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/1992

General Securities Principal Examination

Current Firm

HAMPTON CAPITAL MANAGEMENT CORP.

DANIEL PAUL MARTIN | HAMPTON CAPITAL MANAGEMENT CORP.

CRD#: 26109 / SEC#: , 8-42891

Cancelled by SEC on 06/20/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Pennsylvania since 06/19/1990

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Red Flags

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Firm Stability Insights

John D. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WINCHESTER INVESTMENT SECURITIES, INC.

WISE CHOICE DISCOUNT BROKERAGE, INC.

MEYERS POLLOCK ROBBINS, INC.

FIRST MADISON SECURITIES, INC.

INVESTACORP, INC.

ROUND HILL SECURITIES, INC.

ROYAL PALM INVESTMENTS, LTD.

ROYAL PALM INVESTMENTS, LTD.

FAB SECURITIES OF AMERICA, INC.

COLIN WINTHROP & CO., INC.

M. RIMSON & CO., INC.

CHATFIELD DEAN & CO., INC.

QUEST CAPITAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/1994

Series 7

Date: 6/20/1992

Series 24

Date: 8/25/1992

Current Firm

HAMPTON CAPITAL MANAGEMENT CORP.

Contact information

Documents

Red Flags

Company Information

HAMPTON CAPITAL MANAGEMENT CORP.

TRUST BUT VERIFY

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