Roman C. Mcdonald
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.
Roman Cordell Mcdonald, who also goes by Roman Mcdonald, was a registered financial professional .
Roman is a previously registered financial professional and started their career in finance in 1996. Roman had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2016 - October 23, 2018
KESTRA ADVISORY SERVICES, LLC
August 15, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 15, 2013 - October 23, 2018
KESTRA INVESTMENT SERVICES, LLC
July 24, 2002 - August 20, 2013
NEW ENGLAND SECURITIES
June 10, 1999 - August 20, 2013
NEW ENGLAND SECURITIES
April 15, 1998 - May 7, 1998
NEW ENGLAND SECURITIES
June 2, 1997 - April 21, 1998
HARRISDIRECT LLC
September 27, 1996 - June 2, 1997
PERSHING LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
