Scott M. Roman

P.J. ROBB VARIABLE

Culleoka, TN

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CRD#: 5860518

Professional summary

Scott M Roman, who also goes by Scott M Roman, Scott Michael Roman, Scott Roman, is a registered financial professional currently at P.J. ROBB VARIABLE, LLC located in Culleoka, Tennessee.

Scott is registered as a RR (Registered Representative) and started their career in finance in 2011. Scott has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott M Roman | Scott Michael Roman | Scott 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) - BD

Click below to view Scott M 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

March 17, 2021 - Present

P.J. ROBB VARIABLE, LLC

CRD#: 38339

Culleoka, TN

Past

February 6, 2014 - March 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

January 28, 2014 - March 2, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

March 22, 2011 - January 8, 2013

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WALL, NJ

Past

January 19, 2011 - January 8, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

WALL, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/1/2025)

Connecticut
(3/17/2021)

Delaware
(5/28/2021)

District of Columbia
(5/28/2021)

Florida
(2/8/2022)

Maine
(3/16/2022)

Maryland
(5/28/2021)

Massachusetts
(3/16/2022)

New Hampshire
(3/16/2022)

New Jersey
(3/17/2021)

New York
(3/17/2021)

Pennsylvania
(3/17/2021)

Rhode Island
(3/16/2022)

Tennessee
(4/27/2023)

Vermont
(3/16/2022)

Virginia
(5/28/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/31/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/23/2018

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/6/2018

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

P.J. ROBB VARIABLE, LLC

P.J. ROBB VARIABLE CORPORATION | P.J. ROBB VARIABLE, LLC

CRD#: 38339 / SEC#: , 8-48197

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

6075 Poplar Ave Suite 400, Memphis, TN 38119

Mailing Address

6075 Poplar Ave Suite 400, Memphis, TN 38119

Phone number

(901) 722-5433

Established

Tennessee since 02/21/1995

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRUMP LIFE INSURANCE SERVICES, LLC	OWNER
COLLINS, HEATHER MARIE	ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER	5851459
CORDLE, COYE BAXTER III	CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER	4544954
HARRISON, BRUCE ANDREW	PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR	2232934
MERCHANT, JEFFREY S	CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR	4668892
SCHUYLER, JOHN EDWIN	SECRETARY AND DIRECTOR	1056044
STAHLNECKER, ERIN ELIZABETH	ALTERNATE PRINCIPAL OPERATIONS OFFICER	6606934

Red Flags

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Firm Stability Insights

Scott M. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2011

SIE

Date: 10/1/2018

Series 7

Date: 12/31/2010

Series 10

Date: 2/23/2018

Series 9

Date: 1/6/2018

FINRA

Current Firm

P.J. ROBB VARIABLE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

P.J. ROBB VARIABLE, LLC

TRUST BUT VERIFY

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