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MR

Michael G. Roman

REALTA EQUITIES
WILMINGTON, DE 19801
Some features on this profile are disabled
CRD#: 3104721
MR

Professional summary

Michael Graham Roman, who also goes by Michael Graham Roman, is a registered financial professional currently at REALTA EQUITIES, INC. located in Wilmington, Delaware.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 12 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Graham Roman

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 Michael Graham 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

December 1, 2025 - Present

REALTA EQUITIES, INC.

Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801
BD
CRD#: 23769
WILMINGTON, DE
Past

July 9, 2025 - December 1, 2025

WEALTHFORGE DISTRIBUTORS, LLC

BD
CRD#: 330314
RICHMOND, VA
Past

April 14, 2020 - December 1, 2025

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

February 12, 2018 - April 13, 2020

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

May 31, 2017 - February 13, 2018

S2K FINANCIAL LLC

BD
CRD#: 248786
ORLANDO, FL
Past

April 16, 2015 - May 15, 2017

EMERSON EQUITY LLC

BD
CRD#: 130032
Farmers Branch, TX
Past

August 17, 2012 - January 12, 2015

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

March 7, 2011 - August 20, 2012

COMMONWEALTH CAPITAL SECURITIES CORP.

BD
CRD#: 39979
CLEARWATER, FL
Past

October 22, 2009 - July 30, 2010

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
GRAPEVINE, TX
Past

March 13, 2008 - October 16, 2009

IMS SECURITIES, INC.

BD
CRD#: 35567
GRAPEVINE, TX
Past

February 24, 2003 - March 20, 2008

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
ADDISON, TX
Past

September 14, 1999 - March 6, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 15, 1998 - May 4, 1999

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

State Registrations and Notice Filings

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

RR
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

RR
California
(12/1/2025)
RR
Connecticut
(12/1/2025)
RR
Florida
(12/1/2025)
RR
Illinois
(12/1/2025)
RR
Maryland
(12/1/2025)
RR
Minnesota
(12/1/2025)
RR
Mississippi
(12/1/2025)
RR
Missouri
(12/1/2025)
RR
Nebraska
(12/1/2025)
RR
New Mexico
(12/1/2025)
RR
New York
(12/1/2025)
RR
Texas
(12/1/2025)
RR
Utah
(12/1/2025)
RR
Virginia
(12/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RE
REALTA EQUITIES, INC.
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.

CRD#: 23769 / SEC#: , 8-40822

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Phone number
(888) 657-5200
Established
Massachusetts since 01/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ORANGE STREET HOLDINGS, INC.SHAREHOLDER
BALTOVSKI, ALEXANDERFINOP OFFICER2350828
ODOM, AMY ENITHAML OFFICER2674773
PALMER, JACOB DANIELCHIEF COMPLIANCE OFFICER2309603
SCHULTZ, BARRETT OLIVERCHIEF OPERATIONS OFFICER2741114

Disclosures

Regulatory Event7

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.

Company Information

REALTA EQUITIES, INC.

CRD#: 23769Wilmington, DE 19801

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