Elliott M. Roman
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.
Elliott Marcel Roman was a registered financial professional .
Elliott is a previously registered financial professional and started their career in finance in 1995. Elliott had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2004 - June 1, 2015
DIRECT ACCESS PARTNERS LLC
April 12, 2000 - October 20, 2004
CANACCORD GENUITY LLC
August 9, 1998 - February 7, 2000
JANNEY MONTGOMERY SCOTT LLC
July 3, 1996 - November 13, 1996
VALORES FINAMEX INTERNATIONAL, INC.
November 8, 1995 - February 23, 1996
DIME SECURITIES, 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
Exams
Series 55
Date: 6/27/2005
Limited Representative-Equity Trader ExamSeries 25
Date: 10/12/1999
NYSE Trading Assistant ExaminationCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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