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Liviu Roman

Nylife Securities LLC

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About Liviu Roman

Liviu Roman is a financial professional registered with Nylife Securities LLC. Liviu Roman is licensed to conduct securities business in Illinois. Liviu Roman has passed the Series 6TO and SIE exams. Liviu Roman has been in the securities industry since September 15, 2023. Liviu Roman is located in Deerfield, Illinois, and affiliated with the Deerfield branch of Nylife Securities LLC.

Firm Information

Liviu Roman is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Liviu Roman’s Registration & Firm History

IL

09/15/2023 - Present

Nylife Securities LLC (DEERFIELD IL)

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Licenses & Designations

BC

Issued 10/12/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/15/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/20/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Liviu Roman. Review regulatory record here.
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