Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles A Roman is a financial advisor with over 20 years of experience in the industry. Charles is currently registered with American Enterprise Investment Services Inc. Charles has held previous roles with Ameriprise Financial Services, Inc. and IDS Life Insurance Company. Charles has a strong track record of helping clients reach their financial goals. Charles holds the Series 7, Series 6, Series 63, and Series 66 licenses. Charles is currently licensed in Minnesota.
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.
1
2
MN
11/16/2017 - Present
American Enterprise Investment Services Inc. (Minneapolis MN)
MN
11/04/2015 - 11/16/2017
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
08/04/2008 - 09/10/2014
AMERICAN ENTERPRISE INVESTMENT SERVICES INC. (MINNEAPOLIS MN)
MN
11/14/1997 - 07/25/2008
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
11/14/1997 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/09/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2015
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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