Zachary P. Roman

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CRD#: 7097442

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.

Zachary Phoenix Roman, who also goes by Zachary Roman, was a registered financial professional .

Zachary is a previously registered financial professional and started their career in finance in 2019. Zachary had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Zachary 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

October 28, 2025 - February 17, 2026

OXFORD WEALTH GROUP, LLC

RIA

CRD#: 319561

ORLANDO, FL

Past

November 14, 2024 - October 24, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

TAMPA, FL

Past

November 14, 2024 - October 24, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

TAMPA, FL

Past

June 23, 2020 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Fayetteville, AR

Past

November 18, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Fayetteville, AR

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".

OXFORD WEALTH GROUP, LLC

CRD#: 319561 / SEC#: 801-124718

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/31/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/18/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/3/2019

Securities Industry Essentials Examination

Current Firm

OXFORD WEALTH GROUP, LLC

CRD#: 319561 / SEC#: 801-124718

RIA

Registered Investment Advisory firm - (4/22/2022 Approved)

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Contact information

Main Address

111 N. Orange Avenue Suite 775, Orlando, FL 32801

Mailing Address

Phone number

(407) 495-2004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXFORD WEALTH ADV PART 2A 03-12-2025 (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,456
AUM (Assets Under Management)	$ 235,855,871

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.

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Advisor Monitoring

Firm Stability Insights

Zachary P. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OXFORD WEALTH GROUP, LLC

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

OXFORD WEALTH GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2019

Series 7TO

Date: 11/18/2019

SIE

Date: 5/3/2019

Current Firm

OXFORD WEALTH GROUP, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OXFORD WEALTH GROUP, LLC

TRUST BUT VERIFY

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