Theodore R. Roman
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.
Theodore Robert Roman JR., CFP®, who also goes by Theodore Robert Roman Jr, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1978. Theodore had worked at 4 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1984
Experience
April 3, 2019 - January 10, 2026
ROMAN FINANCIAL ADVISORS
October 11, 1989 - October 11, 1996
SUNAMERICA SECURITIES, INC.
October 13, 1988 - February 17, 2009
ROMAN FINANCIAL ADVISORS
August 21, 1987 - September 25, 1989
TRADEMARK INVESTMENT SERVICES, INC.
June 23, 1978 - August 25, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/17/1978
Registered Representative ExaminationCurrent Firm
ROMAN FINANCIAL ADVISORS
CRD#: 111345 / SEC#:
Contact information
Red Flags
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