Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Roman is a financial advisor with Goldman Sachs & Co. LLC in Dallas, TX. Christopher has been in the industry since November 2015. Christopher previously worked at MORGAN STANLEY in TAMPA, FL. Christopher holds Series 4, 6, 7, 9, 10, 66 and SIE licenses. Christopher is registered to provide securities advice in Utah and New York.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
TX
09/06/2019 - Present
Goldman Sachs & Co. LLC (Dallas TX)
FL
06/15/2016 - 08/19/2019
MORGAN STANLEY (TAMPA FL)
OH
01/01/2010 - 08/03/2010
NATIONWIDE INVESTMENT SERVICES CORPORATION (DUBLIN OH)
BOTH
Issued 08/26/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/2019
Series 4 - Registered Options Principal Examination
BC
Issued 12/20/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/29/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2016
Series 7 - General Securities Representative Examination
BC
Issued 12/29/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Christopher Roman is the right advisor for you? Invested Better is here to help.
