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Roman N. Franklin

Some features on this profile are disabled
CRD#: 4829054
RF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roman Nehemiah Franklin was a registered financial professional .

Roman is a previously registered financial professional and started their career in finance in 2004. Roman had worked at 11 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 11, 2023 - March 30, 2026

MARKETRIDERS

RIA
CRD#: 147963
CHESTERFIELD, MO
Past

April 5, 2018 - December 31, 2019

FRANKLIN FINANCIAL PLANNING

RIA
CRD#: 291191
DELAND, FL
Past

May 13, 2014 - September 2, 2016

BAUERLE FINANCIAL, INC

RIA
CRD#: 106775
DELAND, FL
Past

July 31, 2007 - January 31, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
DELAND, FL
Past

July 18, 2007 - January 31, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
DELAND, FL
Past

August 24, 2006 - December 31, 2010

FRANKLIN FINANCIAL PLANNING

RIA
CRD#: 141383
DELAND, FL
Past

August 24, 2006 - December 17, 2014

FRANKLIN FINANCIAL PLANNING

RIA
CRD#: 141383
DELAND, FL
Past

February 8, 2006 - June 1, 2006

OSAIC SERVICES, INC.

BD
CRD#: 133763
DELAND, FL
Past

November 21, 2005 - February 2, 2006

JESUP & LAMONT ADVISORS

RIA
CRD#: 108006
LONGWOOD, FL
Past

November 18, 2005 - February 2, 2006

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

March 10, 2005 - November 17, 2005

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
DELAND, FL
Past

March 9, 2005 - November 21, 2005

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

January 3, 2005 - February 15, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ORLANDO, FL
Past

October 13, 2004 - February 15, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 13, 2004 - February 15, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
MA
MARKETRIDERS
MARKETRIDERS | SOGOTRADE ASSET MANAGEMENT | NAME 201 | MARKETRIDERS, INC.

CRD#: 147963 / SEC#: 801-69514

RIA
Registered Investment Advisory firm - (9/4/2008 Approved)

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
IAR
Series 65
Date: 7/11/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2004
General Securities Representative Examination

Current Firm

MA
MARKETRIDERS
MARKETRIDERS | SOGOTRADE ASSET MANAGEMENT | NAME 201 | MARKETRIDERS, INC.

CRD#: 147963 / SEC#: 801-69514

RIA
Registered Investment Advisory firm - (9/4/2008 Approved)
PREMIUM
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Contact information

Main Address
1 Mcbride & Son Center Dr. Suite 288, Chesterfield, MO 63005
Mailing Address
Phone number
(866) 990-3837
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (26 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

CLIENT BROCHURE ADV FORM 2A (1/13/2026)

Regulatory assets under management

Total Number of Accounts302
AUM (Assets Under Management)$ 485,640,168

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

MARKETRIDERS

CRD#: 147963

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