Roberto Roman

MGO PRIVATE WEALTH

Irvine, CA 92618

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CRD#: 4609381

Professional summary

Roberto Roman, who also goes by Robert Roman, is a registered financial advisor currently at MGO PRIVATE WEALTH, LLC located in Irvine, California.

Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Roberto has worked at 5 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.

Hartbeat Ventures start 03/2019- Invests in pre IPO/late stage companies. Role is to identify and recommend opportunities in tech, consumer and sports industries. Co-investing with venture capital funds.

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

MGO PRIVATE WEALTH, LLC

Office #1: 111 Pacifica Suite 300, Irvine, CA 92618

RIA

CRD#: 283909

Irvine, 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

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.

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

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.

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".

MGO PRIVATE WEALTH, LLC

MGO PRIVATE WEALTH, LLC | MGO WEALTH ADVISORS, LLC

CRD#: 283909 / SEC#: 801-108057

RIA

Registered Investment Advisory firm - (7/6/2016 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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/22/2005

General Securities Representative Examination

Current Firm

MGO PRIVATE WEALTH, LLC

MGO PRIVATE WEALTH, LLC | MGO WEALTH ADVISORS, LLC

CRD#: 283909 / SEC#: 801-108057

RIA

Registered Investment Advisory firm - (7/6/2016 Approved)

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Contact information

Main Address

111 Pacifica Suite 300, Irvine, CA 92618

Mailing Address

Phone number

(949) 207-3241

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MGO ADV PART 2A (3/6/2025)

Regulatory assets under management

Total Number of Accounts	260
AUM (Assets Under Management)	$ 206,197,659

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
09/23/2024	Cover Page	Report
01/02/2024	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.

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Advisor Monitoring

Firm Stability Insights

Roberto Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY PRIVATE CLIENT GROUP, INC.

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

MGO PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2005

Series 7

Date: 9/22/2005

Current Firm

MGO PRIVATE WEALTH, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MGO PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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