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Aaron Roman

Osaic Institutions, Inc.

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About Aaron Roman

Aaron Roman is a financial advisor with over 20 years of experience in the industry. Aaron is currently registered with Osaic Institutions, Inc. and holds a Series 6, 7, 63, 65 and 26 licenses. Aaron has a strong background in providing financial planning and portfolio management services for both individuals and businesses. Aaron is also a licensed Investment Advisor Representative (IAR).

Firm Information

Aaron Roman is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Aaron Roman’s Registration & Firm History

CT

03/29/2021 - Present

Osaic Institutions, Inc. (MERIDEN CT)

NC

12/04/2019 - 04/08/2021

EQUITABLE ADVISORS, LLC (CHARLOTTE NC)

SC

12/02/2016 - 10/11/2019

LPL FINANCIAL LLC (FORT MILL SC)

NC

04/01/2006 - 11/09/2016

METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)

CA

06/17/2004 - 04/01/2006

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

CT

01/16/2001 - 05/27/2004

WEBSTER INVESTMENT SERVICES, INC. (KENSINGTON CT)

MI

05/19/2000 - 07/21/2000

OLDE DISCOUNT CORPORATION (DETROIT MI)

NE

04/19/1999 - 03/01/2000

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

FL

11/14/1997 - 02/06/1998

JOSEPH CHARLES & ASSOC., INC. (BOCA RATON FL)

NJ

05/09/1994 - 06/29/1994

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

IA

Issued 12/09/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/25/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/03/2009

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/1997

Series 7 - General Securities Representative Examination

BC

Issued 05/06/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Aaron Roman.
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