Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Thomas Roman is a financial advisor with over 25 years of experience in the industry. Mark is currently registered with Stratos Wealth Advisors LLC in Rockland, MA. Mark has a broad range of experience in the financial services industry, including securities, investments, and financial planning. Mark holds the Series 7, 9, 10, 31, 63, and 65 licenses. Mark has also passed the Securities Industry Essentials Examination.
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.
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.
Percentage of assets under management with third party managers
1
2
MA
04/26/2019 - Present
Stratos Wealth Advisors LLC (Rockland MA)
MA
07/12/1994 - 04/29/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HINGHAM MA)
IA
Issued 08/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/05/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 07/11/1994
Series 7 - General Securities Representative Examination
Active
Inactive
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