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RB

Roman G. Balogh

SERA CAPITAL MANAGEMENT
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 7320051
RB

Professional summary

Roman Gabriel Balogh is a registered financial advisor currently at SERA CAPITAL MANAGEMENT, LLC located in Annapolis, Maryland.

Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Roman 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roman Gabriel Balogh'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®
None

Experience

Current

June 12, 2021 - Present

SERA CAPITAL MANAGEMENT, LLC

Office #1: 1910 Towne Centre Blvd Suite 250, Annapolis, MD 21401
RIA
CRD#: 120896
Annapolis, MD

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
Maryland
(6/12/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/12/2021
Uniform Investment Adviser Law Examination

Current Firm

SC
SERA CAPITAL MANAGEMENT, LLC
FINANCIAL TALES | STRATEGIC ASSET MANAGEMENT, LTD. | SERA CAPITAL MANAGEMENT, LLC | SERA CAPITAL MANAGEMENT LIMITED LIABILITY COMPANY | SERA CAPITAL

CRD#: 120896 / SEC#:

Arizona
Registered Investment Advisory firm - (11/12/2025 Approved)
Maryland
Registered Investment Advisory firm - (6/19/1991 Approved)
Texas
Registered Investment Advisory firm - (4/24/2021 Conditional Restricted)
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Contact information

Main Address
1910 Towne Centre Blvd Suite 250, Annapolis, MD 21401
Mailing Address
Phone number
(301) 464-8333
Established
Firm type
Fiscal year end
# of Employees
4

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts106
AUM (Assets Under Management)$ 83,000,000

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

SERA CAPITAL MANAGEMENT, LLC

CRD#: 120896Annapolis, MD 21401

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