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TR

Theodore R. Roman

ROMAN FINANCIAL ADVISORS
El Cajon, CA 92019-5124
Some features on this profile are disabled
CRD#: 853686
TR

Professional summary

Theodore Robert Roman JR., CFP®, who also goes by Theodore Robert Roman Jr, is a registered financial advisor currently at ROMAN FINANCIAL ADVISORS located in El Cajon, California.

Theodore is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Theodore has worked at 4 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Theodore Robert Roman Jr

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.
Roman Financial Advisors Tax Preparation Business. The business is investment-related. Address 4455 Murphy Canyon Rd, Ste 100, San Diego, Ca 92019 Tax business. I am the owner of Roman Financial Advisors advisory business and the tax preparation business. Tax business started in 1980. I devote approximately 150 hours per month from Jan 1 to Apr 15. Approximately 6 hours a month April 15 to Dec 31. My duties include meeting with clients to gather tax related information, preparing client tax returns.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theodore Robert Roman JR.'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®
CFP®

Certified Financial Planner

Start date: 1984

Experience

Current

April 3, 2019 - Present

ROMAN FINANCIAL ADVISORS

Office #1: 3263 Rancho Diego Cir, El Cajon, CA 92019-5124
RIA
CRD#: 111345
El Cajon, CA
Past

October 11, 1989 - October 11, 1996

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

October 13, 1988 - February 17, 2009

ROMAN FINANCIAL ADVISORS

RIA
CRD#: 111345
SAN DIEGO, CA
Past

August 21, 1987 - September 25, 1989

TRADEMARK INVESTMENT SERVICES, INC.

BD
CRD#: 16802
Past

June 23, 1978 - August 25, 1987

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518

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
(4/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/13/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/17/1978
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/1985
General Securities Principal Examination

Current Firm

RF
ROMAN FINANCIAL ADVISORS
ROMAN FINANCIAL ADVISORS | THEODORE ROBERT ROMAN JR | ROMAN JR., THEODORE ROBERT

CRD#: 111345 / SEC#:

California
Registered Investment Advisory firm - (12/11/2025 Termination Requested)
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Contact information

Main Address
3263 Rancho Diego Cir, El Cajon, CA 92019-5124
Mailing Address
Phone number
(619) 669-1111
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

ROMAN FINANCIAL ADVISORS

CRD#: 111345El Cajon, CA 92019-5124

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