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RS

Roman J. Sledziejowski

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CRD#: 3141438
RS

Professional summary

Roman Jerzy Sledziejowski was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roman is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Roman had worked at 4 firms, which includes TWS FINANCIAL LLC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roman Jerry Sledziejowski

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 17, 2006 - December 11, 2012

TWS FINANCIAL, LLC.

BD
CRD#: 128572
BROOKLYN, NY
Past

July 1, 2003 - July 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

October 10, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 9, 1999 - October 21, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/2007
General Securities Principal Examination

Current Firm

TF
TWS FINANCIAL, LLC.
ECN TRADING, LLC | TWS FINANCIAL, LLC. | TRADEX | TRADE WALL STREET INTERNATIONAL | TRADE WALL STREET FINANCIAL | TRADE WALL STREET

CRD#: 128572 / SEC#: , 8-66158

BD
Terminated by SEC on 01/08/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/13/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INNOVEST HOLDINGS, LLCDIRECT OWNER
SLEDZIEJOWSKI, ROMAN JERZYCHIEF EXECUTIVE OFFICER3141438
SLEDZIEJOWSKI, ROMAN JERZYCHIEF COMPLIANCE OFFICER3141438

Disclosures

Regulatory Event8
Financial1

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

TWS FINANCIAL, LLC.

CRD#: 128572

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