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RR

Roberto Roman

LEGACY PCG
NEWPORT, CA 92660
Some features on this profile are disabled
CRD#: 4609381
RR

Professional summary

Roberto Roman, who also goes by Robert Roman, is a registered financial advisor currently at LEGACY PCG, LLC located in Newport, California and GENTRUST located in Tustin, California.

Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Roberto has worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Robert 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) - RIA

Click below to view Roberto 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

July 25, 2016 - Present

LEGACY PCG, LLC

Office #1: 888 San Clemente Drive Suite 400, Newport, CA 92660
RIA
CRD#: 283909
NEWPORT, CA
Current

December 5, 2025 - Present

GENTRUST

RIA
CRD#: 158369
Tustin, CA
Past

November 23, 2011 - December 31, 2016

LEGACY PRIVATE CLIENT GROUP, INC.

RIA
CRD#: 159063
NEWPORT BEACH, CA
Past

September 9, 2009 - November 28, 2011

MORGAN STANLEY

RIA
CRD#: 149777
IRVINE, CA
Past

September 4, 2009 - November 28, 2011

MORGAN STANLEY

BD
CRD#: 149777
IRVINE, CA
Past

September 4, 2007 - September 14, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEWPORT BEACH, CA
Past

September 4, 2007 - September 14, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEWPORT BEACH, CA
Past

February 9, 2007 - August 21, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
IRVINE, CA
Past

February 9, 2007 - August 21, 2007

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
IRVINE, CA
Past

November 15, 2005 - February 16, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEWPORT BEACH, CA
Past

September 23, 2005 - February 16, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEWPORT BEACH, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GE
GENTRUST
GENTRUST | GENTRUST, LLC | GENTRUST WEALTH MANAGEMENT, LLC

CRD#: 158369 / SEC#: 801-72707

RIA
Registered Investment Advisory firm - (10/5/2011 Approved)

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
California
(7/25/2016)
IAR
Texas
(8/21/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/14/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2005
General Securities Representative Examination

Current Firm

GE
GENTRUST
GENTRUST | GENTRUST, LLC | GENTRUST WEALTH MANAGEMENT, LLC

CRD#: 158369 / SEC#: 801-72707

RIA
Registered Investment Advisory firm - (10/5/2011 Approved)
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Contact information

Main Address
1450 Brickell Avenue Suite 3050, Miami, FL 33131
Mailing Address
Phone number
(305) 677-6688
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GENTRUST PART 2A BROCHURE MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts1,667
AUM (Assets Under Management)$ 4,460,903,724

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2025
Cover Page
Report
08/26/2024
Cover Page
Report
11/27/2023
Cover Page
Report
08/25/2022
Cover Page
Report

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

GENTRUST

CRD#: 158369Newport, CA 92660

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