Roman A. Sandoval
Professional summary
Roman A. Sandoval, who also goes by Roman Angelo Sandoval, Roman Sandoval, is a registered financial advisor currently at REDW WEALTH LLC located in Albuquerque, New Mexico.
Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Roman has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Roman A. Sandoval's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2021 - Present
REDW WEALTH LLC
Office #1: 8801 Horizon Blvd Ne, Suite 401, Albuquerque, NM 87113Office #2: 5353 N 16th St Suite 200, Phoenix, AZ 85016September 26, 2019 - January 21, 2020
BBVA SECURITIES INC.
August 4, 2016 - July 1, 2019
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
REDW WEALTH LLC
CRD#: 109446 / SEC#: 801-57516
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/4/2023)
(6/30/2021)
Exams
Current Firm
REDW WEALTH LLC
CRD#: 109446 / SEC#: 801-57516
Contact information
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,019 |
| AUM (Assets Under Management) | $ 880,865,022 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 10/30/2024 | ||
| 09/05/2023 | ||
| 09/01/2023 | ||
| 08/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
REDW WEALTH LLC
CRD#: 109446Albuquerque, NM 87113TRUST BUT VERIFY
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