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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan Ramon Roman is a financial advisor with Morgan Stanley, a firm with over 15,700 licensed agents and $1.4 trillion in regulatory assets under management. Juan Ramon Roman has been in the financial industry since 2015. Juan Ramon Roman is registered to provide financial advice in 53 states and holds multiple securities licenses, including Series 6, 7, 9, 10, 63 and 66. Juan Ramon Roman has experience with financial planning, portfolio management for businesses, individuals and investment companies. Juan Ramon Roman's specializations include providing advice related to investment clubs, insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
AZ
04/08/2019 - Present
Morgan Stanley (GILBERT AZ)
AZ
11/28/2016 - 11/21/2018
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
AZ
08/28/2015 - 11/08/2016
J.P. MORGAN SECURITIES LLC (PHOENIX AZ)
BOTH
Issued 10/17/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/20/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/28/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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