HR
Herbert J. Roman
CETERA INVESTMENT ADVISERS LLC
NEW CITY, NY
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CRD#: 6592460
HR
Professional summary
Herbert Jay Roman, who also goes by Herbert Roman, Jay Roman, Herbert J Roman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New City, New York and CETERA WEALTH SERVICES, LLC located in New City, New York.
Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Herbert has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Herbert Roman | Jay Roman | Herbert J 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.
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: 5 Hillman Rd New City, NY 10956; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/01/2014; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS CHALLENGEXCCEPTED INC.; Director; This company will be a 501C3 once the filing process is complete with the IRS. The mission of this charity will be to teach children with limited resources how to play the game of golf. Currently this business does not generate any revenue and has limited expenses in relation to filing fees. The company and charity will be operational by the year 2025. NIR; HRS 10; HRS 10; 11/09/2021; 306 Route 59, Nyack NY 10960, United States; Owner, operator and managing director of all finances, events and correspondence. My duties include but are not limited to: Private lessons with children and adults of limited resources at no charge (Free Lessons). Acquiring and Providing the necessary resources for the students to learn. Maintaining and servicing the equipment used for teaching students. Hosting fundraising events to support the charitable mission of bringing the game of golf to people with limited resources. Overseeing all accounts payable and receivable. Hiring, training and scheduling staff. THE CHALLENGERS TOUR CORP; Owner; Competitive golf tour and merchandise company. The Challengers Tour hosts golf tournaments and golf outings, caters each event, and offers proprietary merchandise (hats, shirts, etc.) at all hosted events. NIR; HRS 10; HRS 10; 05/26/2021; 306 Route 59, Nyack NY 10960, United States; Owner, president, managing director or finance and operations. Scheduling golf tournaments, hosting golf tournaments, providing service at golf tournaments, maintaining scores at golf tournaments, maintaining orders and overseeing accounts payable and receivable for tournaments. Designing merchandise for the league and the brand. Fashion design, marketing and advertising. CHALLENGER BAY CORP; Owner NATURE: Indoor golf facility that serves craft beer and wine, hosts private parties, and provides golf instruction to the public. NIR; HRS 30; HRS 30; 02/15/2022; 306 Route 59, Nyack NY 10960, United States; I am a majority shareholder, President of the corporation and Managing Partner of all operations. My duties include but are not limited to: Golf Instruction and private lessons, Bartending, Marketing, Managing, Architecture and Design, Technology Maintenance, Hire, Schedule and Manage Staff, Manage Accounts Payable and Receivable, Schedule, Host and Serve Parties, Cleaning and Maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Herbert Jay Roman's 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW CITY, NY
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
New City, NY
Past
January 4, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
New City, NY
Past
January 4, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
New City, NY
Past
November 3, 2021 - January 11, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Brooklyn, NY
Past
November 3, 2021 - January 11, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Brooklyn, NY
Past
June 22, 2021 - November 4, 2021
EQUITY SERVICES, INC.
RIA
CRD#: 265
STATEN ISLAND, NY
Past
August 16, 2016 - November 4, 2021
EQUITY SERVICES, INC.
BD
CRD#: 265
STATEN ISLAND, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
IAR
New York(9/5/2025)
RR
Texas(9/18/2025)
IAR
Texas(10/10/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
