Roman J. Samuels
Professional summary
Roman Jourdain Samuels, who also goes by Roman Samuels, is a registered financial advisor currently at RUSSELL INVESTMENTS located in Seattle, Washington and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Wayzata, Minnesota.
Roman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Roman has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roman Jourdain Samuels's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2019 - Present
RUSSELL INVESTMENTS
Office #1: 401 Union Street 18th Floor, Seattle, WA 98101June 26, 2019 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
January 24, 2018 - May 2, 2019
SAGE ADVISORY SERVICES LTD CO
July 31, 2012 - August 16, 2016
ULTIMUS FUND DISTRIBUTORS, LLC
Primary Firm SEC Registration
RUSSELL INVESTMENTS
CRD#: 105734 / SEC#: 801-17141
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/26/2019)
(5/8/2019)
(7/16/2019)
(5/8/2019)
(7/15/2019)
Exams
Series 7TO
Date: 6/26/2019
General Securities Representative ExaminationFINRA
Current Firm
RUSSELL INVESTMENTS
CRD#: 105734 / SEC#: 801-17141
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
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.
