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MR

Michael G. Roman

WEALTHFORGE SECURITIES
Richmond, VA 23230
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 WEALTHFORGE SECURITIES, LLC located in Richmond, Virginia and WEALTHFORGE DISTRIBUTORS, LLC located in Richmond, Virginia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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).

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

April 14, 2020 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 3015 W Moore Street Suite 102, Richmond, VA 23230
BD
CRD#: 152550
Richmond, VA
Current

July 9, 2025 - Present

WEALTHFORGE DISTRIBUTORS, LLC

Office #1: 3015 W. Moore St. Suite 102, Richmond, VA 23230
BD
CRD#: 330314
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
(10/20/2021)
RR
Connecticut
(11/22/2022)
RR
Florida
(8/18/2020)
RR
Illinois
(11/22/2022)
RR
Maryland
(7/9/2025)
RR
Minnesota
(1/24/2023)
RR
Mississippi
(6/27/2024)
RR
Missouri
(1/24/2023)
RR
Nebraska
(12/20/2021)
RR
New Mexico
(11/22/2022)
RR
New York
(6/27/2024)
RR
Texas
(4/14/2020)
RR
Utah
(6/27/2024)
RR
Virginia
(4/14/2020)

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

WD
WEALTHFORGE DISTRIBUTORS, LLC
WEALTHFORGE DISTRIBUTORS, LLC

CRD#: 330314 / SEC#: , 8-71216

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

Main Address
3015 W. Moore St. Suite 102, Richmond, VA 23230
Mailing Address
3015 W. Moore St. Suite 102, Richmond, VA 23230
Phone number
(804) 956-3365
Established
Virginia since 10/03/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INCPARENT
ARLES, DONNA DIPIETROCFO, POO, PFO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

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

WEALTHFORGE DISTRIBUTORS, LLC

CRD#: 330314Richmond, VA 23230

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