FR
Francis J. Roman
SYNERGY ASSET MANAGEMENT
VANCOUVER, WA 98684
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CRD#: 6748585
FR
Professional summary
Francis James Roman is a registered financial advisor currently at SYNERGY ASSET MANAGEMENT, LLC located in Vancouver, Washington.
Francis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Francis has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Francis James 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
March 1, 2017 - Present
SYNERGY ASSET MANAGEMENT, LLC
Office #1: 13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684RIA
CRD#: 117201
VANCOUVER, WA
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".
SA
SYNERGY ASSET MANAGEMENT, LLC
CROSSLINK CAPITAL GROUP, LLC | SYNERGY FINANCIAL MANAGEMENT, LLC DBA SYNERGETIC FINANCE | SYNERGY FINANCIAL MANAGEMENT, LLC | SYNERGY ASSET MANAGEMENT, LLC | SOUND PLANNING GROUP | ROWAN STREET ADVISORS, LLC
CRD#: 117201 / SEC#: 801-64132
RIA
Registered Investment Advisory firm - (4/8/2005 Approved)California
Registered Investment Advisory firm - (4/12/2005 Terminated)Washington
Registered Investment Advisory firm - (4/12/2005 Terminated)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.Highlighted states indicate IAR registrations
IAR
Washington(3/1/2017)
Current Firm
SA
SYNERGY ASSET MANAGEMENT, LLC
CROSSLINK CAPITAL GROUP, LLC | SYNERGY FINANCIAL MANAGEMENT, LLC DBA SYNERGETIC FINANCE | SYNERGY FINANCIAL MANAGEMENT, LLC | SYNERGY ASSET MANAGEMENT, LLC | SOUND PLANNING GROUP | ROWAN STREET ADVISORS, LLC
CRD#: 117201 / SEC#: 801-64132
RIA
Registered Investment Advisory firm - (4/8/2005 Approved)California
Registered Investment Advisory firm - (4/12/2005 Terminated)Washington
Registered Investment Advisory firm - (4/12/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684
Mailing Address
Phone number
(206) 386-5455
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,659 |
| AUM (Assets Under Management) | $ 1,052,439,630 |
Red Flags
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