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Roman N. Franklin

MARKETRIDERS
Chesterfield, MO 63005
Some features on this profile are disabled
CRD#: 4829054
RF

Professional summary

Roman Nehemiah Franklin is a registered financial advisor currently at MARKETRIDERS located in Chesterfield, Missouri.

Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Roman has worked at 11 firms and has passed the Series 65, Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
Roman Franklin is current a member of the Board of Directors of I-Am Capital Acquisition Company, New York, NY; approximately 1 hour per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Nehemiah Franklin'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

August 11, 2023 - Present

MARKETRIDERS

Office #1: 1 Mcbride & Son Center Dr. Suite 288, Chesterfield, MO 63005
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.

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
(8/11/2023)
IAR
Florida
(8/16/2023)
IAR
Missouri
(8/14/2023)

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)
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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 (7/30/2025)

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#: 147963Chesterfield, MO 63005

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