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Caleb L. Roman

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CRD#: 6953658
CR

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.

Caleb Lee Roman, who also goes by Caleb Roman, was a registered financial professional .

Caleb is a previously registered financial professional and started their career in finance in 2018. Caleb had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caleb 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 3, 2019 - March 22, 2022

SYMPHONIC SECURITIES LLC

BD
CRD#: 139512
KANSAS CITY, MO
Past

June 29, 2018 - November 2, 2018

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/29/2018
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SS
SYMPHONIC SECURITIES LLC
SYMPHONIC SECURITIES LLC

CRD#: 139512 / SEC#: , 8-67220

BD
Terminated by SEC on 07/08/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CITY NATIONAL ROCHDALE HOLDINGS, INC.MANAGING MEMBER/100% OWNER
BARTON, RICHARD JOSEPHCHIEF COMPLIANCE OFFICER2040869
CEPLER, MITCHELL DANIELCFO AND FINOP4554270
GIAQUINTO, GREGG ROBERTMANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS3182583

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.

Company Information

SYMPHONIC SECURITIES LLC

CRD#: 139512

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