Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Jay Roman is a financial advisor with Avantax Advisory Services in Dallas, Texas. Herbert has been in the financial industry since August 15, 2016. He holds a Series 63 license and a Series 6 license. Herbert has worked at various firms, including Pruco Securities, LLC and Equity Services, Inc. Herbert also has experience in insurance and golf. Herbert is registered with the states of Connecticut, Florida, Massachusetts, New Jersey, and New York. He is currently licensed to provide financial advice and insurance products through Avantax. Herbert is also active in his community and volunteers his time to various charitable organizations.
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.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
NY
01/04/2024 - Present
Avantax Advisory Services (New City NY)
NY
11/03/2021 - 01/11/2024
PRUCO SECURITIES, LLC. (Brooklyn NY)
NY
08/16/2016 - 11/04/2021
EQUITY SERVICES, INC. (STATEN ISLAND NY)
BC
Issued 11/21/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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