MR
Mark J. Roman
GRV SECURITIES LLC
CHICAGO, IL 60611-6541
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CRD#: 4243558
MR
Professional summary
Mark Jason Roman, who also goes by Mark J Roman, is a registered financial professional currently at GRV SECURITIES LLC located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 22 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark J 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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Jason 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®
NoneExperience
Current
May 16, 2006 - Present
GRV SECURITIES LLC
Office #1: 900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541Office #2: 900 North Michigan Avenue, Suite 1100, Chicago, IL 60611BD
CRD#: 138348
CHICAGO, IL
Past
September 5, 2000 - August 13, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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
Alabama(5/25/2006)
RR
Alaska(9/20/2010)
RR
Arizona(5/24/2006)
RR
Arkansas(9/20/2010)
RR
California(5/17/2006)
RR
Colorado(9/20/2010)
RR
Connecticut(5/17/2006)
RR
Delaware(6/9/2006)
RR
District of Columbia(10/18/2013)
RR
Florida(5/18/2006)
RR
Georgia(9/20/2010)
RR
Hawaii(9/20/2010)
RR
Idaho(9/20/2010)
RR
Illinois(5/16/2006)
RR
Indiana(6/1/2006)
RR
Iowa(9/20/2010)
RR
Kansas(9/20/2010)
RR
Kentucky(10/23/2015)
RR
Louisiana(5/16/2006)
RR
Maine(9/20/2010)
RR
Maryland(9/20/2010)
RR
Massachusetts(6/6/2006)
RR
Michigan(5/30/2006)
RR
Minnesota(10/18/2013)
RR
Mississippi(9/20/2010)
RR
Missouri(9/20/2010)
RR
Montana(10/23/2015)
RR
Nebraska(10/23/2015)
RR
Nevada(9/20/2010)
RR
New Hampshire(10/23/2015)
RR
New Jersey(6/8/2006)
RR
New Mexico(9/20/2010)
RR
New York(5/16/2006)
RR
North Carolina(9/20/2010)
RR
North Dakota(10/23/2015)
RR
Ohio(5/19/2006)
RR
Oklahoma(9/20/2010)
RR
Oregon(5/16/2006)
RR
Pennsylvania(5/25/2006)
RR
Rhode Island(6/9/2011)
RR
South Carolina(9/20/2010)
RR
Tennessee(9/20/2010)
RR
Texas(5/17/2006)
RR
Utah(10/23/2015)
RR
Vermont(9/20/2010)
RR
Virginia(5/16/2006)
RR
Washington(9/20/2010)
RR
West Virginia(10/23/2015)
RR
Wisconsin(5/23/2006)
RR
Wyoming(9/20/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GRV SECURITIES LLC
GROSVENOR SECURITIES LLC | GRV SECURITIES LLC
CRD#: 138348 / SEC#: , 8-67160
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Mailing Address
900 North Michigan Avenue Suite 1100, Chicago, IL 60611-6541
Phone number
(312) 506-6500
Established
Delaware since 08/18/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GCM GROSVENOR L.P. | SOLE MEMBER | 108654 |
| DANIEL, DAWNA LYNNE | CHIEF COMPLIANCE OFFICER | 5137048 |
| HENRICH, DIANNA LEA | MANAGING DIRECTOR | 4695780 |
| MONTGOMERY, BURKE JOHNSON | GENERAL COUNSEL | 5067591 |
| SACKS, MICHAEL JAY | MANAGER/CHIEF EXECUTIVE OFFICER | 2077424 |
| SULLIVAN, KATHLEEN PATRICIA | FINANCIAL AND OPERATIONS PRINCIPAL | 5099521 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
