Taino O. Roman

LOOP CAPITAL MARKETS LLC

Clark, NJ 07066

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CRD#: 3083882

Professional summary

Taino Oscar Roman is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Clark, New Jersey.

Taino is registered as a RR (Registered Representative) and started their career in finance in 1998. Taino has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 25 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Taino Oscar Roman'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

February 24, 2010 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 100 Walnut Avenue, Suite 505, Clark, NJ 07066

RIA

CRD#: 43098

Clark, NJ

Past

January 10, 2008 - February 22, 2010

DOLEY SECURITIES, LLC.

CRD#: 7081

NEW ORLEANS, LA

Past

May 7, 2007 - February 11, 2010

MAGNA

CRD#: 30935

NEW YORK CITY, NY

Past

April 23, 2001 - May 16, 2001

EMAC SECURITIES CORPORATION

CRD#: 103963

NEW YORK, NY

Past

March 28, 2001 - April 17, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 8, 2000 - March 20, 2000

MAGNA

CRD#: 30935

NEW YORK CITY, NY

Past

August 24, 1998 - July 29, 1999

J. STREICHER & CO. L.L.C.

CRD#: 3526

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(2/24/2010)

Exams

State Security Law Exam

Series 63

Date: 10/6/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/16/2008

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 12/9/1999

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 8/22/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Mailing Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Phone number

(312) 913-4900

Established

Delaware since 06/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LOOP CAPITAL, LLC	OWNER
BERKELEY, STEPHEN SIDNEY	REGULATORY COUNSEL AND CCO	5616433
LUPKIN, IRA ADAM	CHIEF FINANCIAL OFFICER	4463446
REYNOLDS, JAMES JR.	CHIEF EXECUTIVE OFFICER	1162337
SULLIVAN, ANTHONY	CHIEF OPERATING OFFICER	5995264

Disclosures

Regulatory Event

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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Firm Stability Insights

Taino O. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Taino Oscar Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOLEY SECURITIES, LLC.

MAGNA

EMAC SECURITIES CORPORATION

UBS SECURITIES LLC

MAGNA

J. STREICHER & CO. L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/2007

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/16/2008

Series 25

Date: 12/9/1999

Series 7

Date: 8/22/1998

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LOOP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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