JR
James A. Roman
PNC CAPITAL MARKETS LLC
Chicago, IL 60606
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CRD#: 7132566
JR
Professional summary
James Andersen Roman is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2019. James has worked at 3 firms and has passed the Series 66, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1. CONSULT YOUR COMMUNITY, NC STATE CHAPTER POSITION: Business Analyst NATURE: Student run non-profit. INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2020 ADDRESS: 2610 Cates Avenue, Raleigh NC 27606, United States DESCRIPTION: Consult your community is a student run organization that provides pro-bono consulting services to local Raleigh businesses. 2. CAPITOL FINANCIAL SOLUTIONS POSITION: Practice Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 124 SECURITIES TRADING HOURS: 124 START DATE: 08/10/2020 ADDRESS: 8816 Six Forks Rd, Suite 301, Raleigh NC 27615, United States DESCRIPTION: I am an assistant to registered representatives of the firm and assist them with their business.
CRS (Client Relationship Summary) - BD
Click below to view James Andersen 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
June 28, 2022 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1 North Franklin St, Chicago, IL 60606BD
CRD#: 15647
Chicago, IL
Past
August 10, 2020 - April 22, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
RALEIGH, NC
Past
August 10, 2020 - April 22, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
RALEIGH, NC
Past
July 24, 2019 - July 28, 2020
INTERCAROLINA FINANCIAL SERVICES, INC.
RIA
CRD#: 19475
greensboro, NC
Past
June 12, 2019 - July 28, 2020
INTERCAROLINA FINANCIAL SERVICES, INC.
BD
CRD#: 19475
GREENSBORO, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Illinois(6/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/17/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/12/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PNC CAPITAL MARKETS LLC
PNB BROKERAGE SERVICES, INC. | PNC SECURITIES CORP | PNC CAPITAL MARKETS, INC. | PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 5th Floor, Pittsburgh, PA 15222
Mailing Address
1600 Market Street F2-f070-21-4, Philadelphia, PA 19103
Phone number
(215) 585-1079
Established
Pennsylvania since 12/01/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
