Michael J. Roman
Professional summary
Michael John Roman, who also goes by Michael J Roman, Mike Roman, is a registered financial professional currently at MAN INVESTMENTS INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Roman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2024 - Present
MAN INVESTMENTS INC.
Office #1: 1345 Avenue Of The Americas 21st Floor, New York, NY 10105December 20, 2023 - August 16, 2024
FRANKLIN DISTRIBUTORS, LLC
June 10, 2016 - April 2, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
January 14, 2009 - June 11, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 14, 2005 - November 12, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
March 11, 2003 - December 22, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 16, 1999 - February 12, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 1, 1997 - March 4, 1999
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 12/20/2023
General Securities Representative ExaminationFINRA
Current Firm
MAN INVESTMENTS INC.
CRD#: 15770 / SEC#: , 8-32575
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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