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JR

James M. Roman

Some features on this profile are disabled
CRD#: 4846101
JR

Professional summary

James M Roman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, James had worked at 5 firms, which includes CALDWELL INTERNATIONAL SECURITIES, LPL FINANCIAL LLC, MUTUAL SERVICE CORPORATION, FORTUNE FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Robert Romansky Jr.

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

April 8, 2011 - September 30, 2011

CALDWELL INTERNATIONAL SECURITIES

BD
CRD#: 104323
NASSAU,
Past

October 6, 2009 - March 11, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
LITTLE ELM, TX
Past

October 6, 2009 - March 11, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
LITTLE ELM, TX
Past

July 3, 2007 - October 7, 2009

MUTUAL SERVICE CORPORATION

RIA
CRD#: 4806
FRISCO, TX
Past

June 11, 2007 - October 7, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
FRISCO, TX
Past

March 15, 2007 - June 22, 2007

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
MONACA, PA
Past

June 14, 2006 - December 11, 2006

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
MONACA, PA
Past

November 1, 2004 - May 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PITTSBURGH, PA
Past

October 1, 2004 - May 31, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
RR
IAR
Series 66
Date: 10/28/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 11/3/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/2004
General Securities Representative Examination

Current Firm

CI
CALDWELL INTERNATIONAL SECURITIES
ADAMS WEALTH MANAGEMENT | CALDWELL INTERNATIONAL SECURITIES CORPORATION | CALDWELL INTERNATIONAL SECURITIES | BRENNAN AND ASSOCIATES, INC.

CRD#: 104323 / SEC#: , 8-52771

BD
Cancelled by SEC on 09/28/2017
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Contact information

Main Address
Fischer, TX
Mailing Address
Phone number
Established
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
JACOBS, PAUL JOSEPHCCO, FINOP4658235

Disclosures

Regulatory Event8
Arbitration1

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

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

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