John G. 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.
John George Roman JR, who also goes by John G Roman Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1979. John had worked at 14 firms and has passed the Series 65, Series 63, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2012 - December 18, 2012
HERITAGE FINANCIAL SYSTEMS, LLC
April 11, 2012 - January 26, 2015
ARIN RISK ADVISORS LLC
February 10, 2011 - August 15, 2011
ALLIANCEBERNSTEIN L.P.
November 15, 2010 - August 15, 2011
SANFORD C. BERNSTEIN & CO., LLC
February 18, 2008 - June 17, 2009
Q PRIME, INC.
April 5, 2005 - November 20, 2006
CITCO MUTUAL FUND DISTRIBUTORS, INC.
November 9, 2001 - February 3, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
September 7, 1990 - November 9, 1990
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
December 11, 1989 - March 20, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1986 - April 19, 1988
METRIC CAPITAL CORPORATION
February 5, 1985 - October 31, 1986
R-V EQUITIES CORP.
May 12, 1980 - March 28, 1983
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - June 9, 1980
UBS FINANCIAL SERVICES INC.
June 21, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
Current Firm
HERITAGE FINANCIAL SYSTEMS, LLC
CRD#: 133019 / SEC#: , 8-66670
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Civil Event | 1 |
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.
