Richard B. Roma
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.
Richard Barringer Roma, who also goes by Richard Roma, Rick Roma, Ricky Roma, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 79TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2023 - April 3, 2025
STOUT CAPITAL, LLC
March 18, 2013 - January 27, 2015
MSI FINANCIAL SERVICES, INC.
July 2, 2012 - January 27, 2015
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 5/22/2023
Investment Banking Registered Representative ExaminationCurrent Firm
STOUT CAPITAL, LLC
CRD#: 127302 / SEC#: , 8-65979
Contact information
FINRA licenses (38 States and Territories)
Documents
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.
