Roman F. Reed

ARAX ADVISORY PARTNERS

Houston, TX 77027

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CRD#: 2936933

Professional summary

Roman Feagins Reed is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.

Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Roman has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Feagins Reed's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 19, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027

RIA

CRD#: 133535

Houston, TX

Current

December 4, 2025 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

HOUSTON, TX

Past

December 3, 2025 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

HOUSTON, TX

Past

December 7, 2018 - December 5, 2025

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

HOUSTON, TX

Past

December 7, 2018 - December 5, 2025

OPPENHEIMER & CO. INC.

CRD#: 249

HOUSTON, TX

Past

November 28, 2016 - December 10, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

November 28, 2016 - December 10, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

April 26, 2016 - November 29, 2016

INSIGNEO ADVISORY SERVICES, LLC

RIA

CRD#: 282589

HOUSTON, TX

Past

October 2, 2015 - November 29, 2016

INSIGNEO SECURITIES, LLC

CRD#: 29249

HOUSTON, TX

Past

April 13, 2015 - November 18, 2016

INSIGNEO WEALTH ADVISORS, LLC

RIA

CRD#: 112706

HOUSTON, TX

Past

April 30, 2009 - March 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

April 30, 2009 - March 26, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HOUSTON, TX

Past

June 3, 2002 - May 21, 2009

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

HOUSTON, TX

Past

June 3, 2002 - May 21, 2009

UBS INTERNATIONAL INC.

CRD#: 107726

HOUSTON, TX

Past

November 2, 1999 - June 1, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

October 25, 1999 - June 3, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(12/8/2025)

IAR

Texas
(7/19/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/23/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/29/1997

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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.

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Advisor Monitoring

Firm Stability Insights

Roman F. Reed

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Feagins Reed's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

INSIGNEO ADVISORY SERVICES, LLC

INSIGNEO SECURITIES, LLC

INSIGNEO WEALTH ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2015

Series 63

Date: 8/14/1997

SIE

Date: 10/1/2018

Series 31

Date: 1/23/2006

Series 7

Date: 10/29/1997

FINRA

Investors' Exchange LLC

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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