Roman Lara
Professional summary
Roman Lara III, who also goes by Roman Lara, Roman Lara III, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Porterville, California and ALLSTATE FINANCIAL SERVICES, LLC located in Porterville, California.
Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Roman has worked at 18 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roman Lara III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2024 - Present
ALLSTATE FINANCIAL ADVISORS, LLC
Office #1: 311 N 2nd St Ste A, Porterville, CA 93257-3806August 6, 2024 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 311 N 2nd St Ste A, Porterville, CA 93257-3806November 1, 2022 - August 2, 2023
SECURE INVESTMENT MANAGEMENT, LLC
November 5, 2019 - August 30, 2022
BROOKSTONE CAPITAL MANAGEMENT LLC
April 2, 2019 - October 18, 2019
SPECIALIZED ADVISORS
October 25, 2018 - April 1, 2019
SECURE INVESTMENT MANAGEMENT, LLC
April 12, 2017 - October 11, 2018
CENTAURUS FINANCIAL, INC.
April 12, 2017 - October 11, 2018
CENTAURUS FINANCIAL, INC.
January 21, 2015 - June 4, 2015
VALIC FINANCIAL ADVISORS, INC.
January 5, 2015 - June 4, 2015
VALIC FINANCIAL ADVISORS, INC.
May 13, 2013 - November 20, 2014
NMS CAPITAL ASSET MANAGEMENT, INC.
October 12, 2010 - January 13, 2012
GRADIENT ADVISORS, LLC
October 11, 2010 - September 22, 2011
GRADIENT SECURITIES, LLC
September 26, 2008 - November 20, 2008
BROKERSXPRESS LLC
April 30, 2008 - November 20, 2008
BROKERSXPRESS LLC
February 24, 2006 - July 23, 2007
BROOKSTREET SECURITIES CORPORATION
June 23, 2003 - February 17, 2006
PARTNERVEST SECURITIES, INC.
December 14, 2001 - April 2, 2003
AMERICAN GENERAL SECURITIES INCORPORATED
May 23, 2001 - December 31, 2001
UNITED SECURITIES ALLIANCE, INC.
February 3, 2000 - May 24, 2001
WAMU INVESTMENTS, INC.
December 15, 1998 - February 4, 2000
UNITED SECURITIES ALLIANCE, INC.
November 10, 1997 - December 22, 1998
WMA SECURITIES, INC.
May 28, 1997 - September 30, 1997
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/19/2024)
(8/7/2024)
Exams
Series 7TO
Date: 8/5/2024
General Securities Representative ExaminationFINRA
Current Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
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Company Information
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524Porterville, CA 93257-3806TRUST BUT VERIFY
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