Alan D. Roman
Professional summary
Alan David Roman is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1995. Alan has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan David Roman's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901September 26, 2012 - May 2, 2019
QUESTAR CAPITAL CORPORATION
January 12, 2010 - October 5, 2010
SIGNATOR INVESTORS, INC.
March 28, 2008 - December 18, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 17, 1998 - August 31, 2006
OSAIC FS, INC.
August 10, 1995 - October 22, 1996
FMG DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/8/2021)
(4/8/2021)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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