Unclaimed
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 with over 25 years of experience in the financial industry. She is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC., and SEAFIRST INVESTMENT SERVICES, INC. Elizabeth holds a variety of licenses and certifications, including the Series 7, Series 24, Series 52, Series 53, Series 63, and Series 65 exams. Elizabeth is a registered representative and investment advisor in several states, including Texas, Washington, Alaska, Arizona, Arkansas, California, Colorado, Florida, Georgia, Idaho, Illinois, Iowa, Louisiana, Maryland, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Utah, Wisconsin, and Wyoming. Elizabeth specializes in providing portfolio management for businesses and individuals, as well as offering other advisory services such as performance measurement reports, allocation modeling, IPS, research reports and services, educational seminars, and selection of other advisors.
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 08/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/30/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/31/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/10/1993
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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