Michael J. Roman
Professional summary
Michael John Roman, who also goes by Michael John Roman, Michael J Roman, Mike Roman, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Cranford, New Jersey and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 8 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
January 8, 2026 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
January 8, 2026 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High Street, Des Moines, IA 50392December 3, 2024 - December 16, 2025
MAN INVESTMENTS INC.
December 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.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
