Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlo? Claim Your ProfileCarlo Roberto Roman is a financial professional currently registered with Sammons Financial Network, LLC in West Des Moines, Iowa. Carlo has been in the industry since July 3, 2023, and holds the Series 7TO, Series 63 and SIE exams. Carlo is currently registered with the state of Ohio. Prior to his current role, Carlo was with Walton RE Securities, LLC in Scottsdale, Arizona.
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.
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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IA
01/10/2024 - Present
Sammons Financial Network, LLC (WEST DES MOINES IA)
AZ
01/23/2023 - 07/31/2023
WALTON RE SECURITIES, LLC (SCOTTSDALE AZ)
BC
Issued 03/02/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2023
Series 7TO - General Securities Representative Examination
BC
Issued 07/08/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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