Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Roman is a licensed financial professional with over 15 years of experience in the financial industry. David has a proven track record of providing expert guidance and investment management services to a diverse clientele, including high-net-worth individuals, corporations, and institutional investors. David is currently registered with Goldman Sachs & Co. LLC and holds a range of securities licenses, including Series 7, Series 63, Series 86 and Series 87. David is committed to providing personalized financial solutions tailored to meet the unique needs of each client.
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
CA
03/28/2024 - Present
Goldman Sachs & Co. LLC (SAN FRANCISCO CA)
NY
05/19/2009 - 11/04/2016
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
03/21/2005 - 05/11/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 03/15/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/15/2024
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 04/15/2024
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 03/28/2024
Series 7TO - General Securities Representative Examination
BC
Issued 03/15/2024
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2005
Series 7 - General Securities 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
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