AR
Armando G. Roman
AXIOM FOUNDERS FAMILY OFFICE
SCOTTSDALE, AZ 85258
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CRD#: 4414526
AR
Professional summary
Armando G. Roman, who also goes by Armando Roman, is a registered financial advisor currently at AXIOM FOUNDERS FAMILY OFFICE, INC. located in Scottsdale, Arizona.
Armando is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Armando has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Armando 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.
(1) SUN CASA HOLDINGS, LLC; POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2006 ADDRESS: 2573 E. 24th Street, Ste. 100, Yuma AZ 85365, United States DESCRIPTION: 50% OWNER OF SUN CASA HOLDINGS, LLC A RENTAL PROPERTY MANAGEMENT COMPANY. (2) ARMANDO G ROMAN, CPA POSITION: Officer/Director NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2010 ADDRESS: 7373 E. Doubletree Ranch Road, Suite 170, Scottsdale AZ 85258, United States DESCRIPTION: 100% OWNER ARMANDO G ROMAN, CPA PROVIDING TAX PREPARATION AND ACCOUNTING SERVICES. (3) ARIZONA HISPANIC CHAMBER OF COMMERCE; NON-INVESTMENT RELATED; 1020 E. MISSOURI AVE., PHOENIX, AZ 85014; TREASURER; 2 HOURS PER MONTH DURING TRADING HOURS; 1 HOUR PER MONTH DURING NON-TRADING HOURS. (4) ROMAN CATHOLIC DIOCESE OF PHOENIX; NON-INVESTMENT RELATED; CHAIRMAN, INVESTMENT MANAGEMENT COMMITTEE; 400 E MONROE ST., PHOENIX, AZ 85004; 09/2014; APPROX. 1 HOUR PER MONTH DURING TRADING HOURS; APPROX. 1 HOUR PER MONTH DURING NON-TRADING HOURS; FIDUCIARY DUTY TO OVERSEE PRUDENT INVESTMENT MANAGEMENT, MONITORING AND REPORTING OF THE DIOCESE' INVESTMENT PORTFOLIO. (5) AXIOM RISK MANAGEMENT, LLC; INVESTMENT RELATED; 7373 E. DOUBLETREE RANCH ROAD, SUITE 170, SCOTTSDALE, AZ 85258; INSURANCE AGENCY; MANAGING MEMBER AND INSURANCE PRODUCER; 08/2022; APPROX. 10 HOURS PER MONTH DURING TRADING HOURS; MANAGE THE INSURANCE AGENCY AND INSURANCE PRODUCTION ACTIVITIES. (6) SCOTTSDALE FOUNDERS FORUM, LLC; NON-INVESTMENT RELATED; 7373 E. DOUBLETREE RANCH ROAD, SUITE 170, SCOTTSDALE, AZ 85258; ENTITY ORGANIZING EDUCATIONAL SEMINARS FOR BUSINESS OWNERS; MANAGING MEMBER; 02/2023; APPROX. 10 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; ORGANIZE EDUCATIONAL SEMINARS ON BUSINESS LIFE DECISIONS. (7) FOUNDERS GUIDE POST, LLC; NON-INVESTMENT RELATED; 7373 E. DOUBLETREE RANCH ROAD, SUITE 170, SCOTTSDALE, AZ 85258; ENTITY ORGANIZING EDUCATIONAL SEMINARS FOR BUSINESS OWNERS; MANAGING MEMBER; 02/2023; APPROX. 10 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; ORGANIZE EDUCATIONAL SEMINARS ON BUSINESS LIFE DECISIONS. (8) SCOTTSDALE VALUATIONS, LLC; NON-INVESTMENT RELATED; 7373 E. DOUBLETREE RANCH ROAD, SUITE 170, SCOTTSDALE, AZ 85258; ENTITY CONDUCTING BUSINESS VALUATIONS FOR BUSINESS OWNERS; MANAGING MEMBER; 01/2025; APPROX. 5 HOURS PER MONTH DURING TRADING AND NON-TRADING HOURS; CONDUCT BUSINESS VALUATIONS AND MANAGE ALL OTHER ASPECTS OF THE COMPANY.
CRS (Client Relationship Summary) - RIA
Click below to view Armando G. 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 26, 2021 - Present
AXIOM FOUNDERS FAMILY OFFICE, INC.
Office #1: 7373 E. Doubletree Ranch Road Suite 170, Scottsdale, AZ 85258RIA
CRD#: 313318
SCOTTSDALE, AZ
Past
August 23, 2006 - July 1, 2021
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SCOTTSDALE, AZ
Past
July 26, 2006 - July 1, 2021
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SCOTTSDALE, AZ
Past
June 19, 2006 - July 27, 2006
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
SCOTTSDALE, AZ
Past
December 9, 2004 - July 27, 2006
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
PHOENIX, AZ
Past
October 10, 2001 - December 16, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(5/28/2021)
IAR
Texas(5/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
AXIOM FOUNDERS FAMILY OFFICE, INC.
AXIOM FINANCIAL RESOURCES | AXIOM FOUNDERS FAMILY OFFICE, INC. | AXIOM FINANCIAL RESOURCES, INC.
CRD#: 313318 / SEC#:
Arizona
Registered Investment Advisory firm - (5/28/2021 Approved)Texas
Registered Investment Advisory firm - (4/5/2021 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7373 E. Doubletree Ranch Road Suite 170, Scottsdale, AZ 85258
Mailing Address
Phone number
(480) 367-9000
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 63 |
| AUM (Assets Under Management) | $ 32,938,063 |
Red Flags
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