RP
Roman J. Puglise
UPHOLDINGS
Charleston, SC
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CRD#: 7660857
RP
Professional summary
Roman Joseph Puglise is a registered financial advisor currently at UPHOLDINGS located in Charleston, South Carolina.
Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Roman has worked at 2 firms 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.
Premier Lacrosse League (PLL), 222 North Pacific Coast Highway, Suite 1310, El Segundo, California, 90245. PLL is a professional sports league focused on men's lacrosse. Not investment related. Paid to play lacrosse as professional athlete, Start date June 2022, 25 hours per month during the season which runs from late May to late September each year, weekends only.
CRS (Client Relationship Summary) - RIA
Click below to view Roman Joseph Puglise'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
July 17, 2025 - Present
UPHOLDINGS
RIA
CRD#: 301340
Charleston, SC
Past
December 13, 2022 - April 30, 2025
MARINER WEALTH
RIA
CRD#: 140195
Los Angeles, CA
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
California(8/6/2025)
IAR
South Carolina(7/17/2025)
Current Firm
UP
UPHOLDINGS
UPHOLDINGS | UPHOLDINGS GROUP LLC
CRD#: 301340 / SEC#: 801-119773
RIA
Registered Investment Advisory firm - (7/24/2023 Terminated)California
Registered Investment Advisory firm - (8/6/2025 Approved)South Carolina
Registered Investment Advisory firm - (7/17/2025 Approved)Tennessee
Registered Investment Advisory firm - (7/12/2023 Approved)Texas
Registered Investment Advisory firm - (8/19/2025 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Nashville, TN
Mailing Address
Phone number
(615) 669-8699
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 39,239,684 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 10/12/2020 |
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.
