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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Elizabeth? Claim Your ProfileElizabeth Roman is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. based in BELLEVUE, WA. Elizabeth has been in the financial services industry since 1997. She is a registered representative with FINRA and holds Series 7, 24, 52, 53, 63, and 65 licenses. Elizabeth has a wide range of experience in the financial industry, including working with individual clients, businesses, and institutions. She specializes in portfolio management for individuals and businesses, as well as financial planning. Elizabeth is committed to providing her clients with personalized service and helping them achieve their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
WA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
04/02/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BELLEVUE WA)
MA
07/12/1999 - 12/31/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/01/1998 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
08/01/1996 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
IA
Issued 8/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/4/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 6/30/1999
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/31/1996
Series 7 - General Securities Representative Examination
BC
Issued 8/10/1993
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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