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Nicolas Roman

PFS Investments Inc.

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About Nicolas Roman

Nicolas Roman is a financial professional with over 20 years of experience in the industry. Nicolas currently works as a registered representative at PFS Investments Inc. in Hauppauge, NY, where Nicolas is responsible for providing financial advice and investment management services to individuals and families. Nicolas has a strong track record of success in helping clients achieve their financial goals. Nicolas is committed to providing personalized service and building long-term relationships with Nicolas' clients.

Firm Information

Nicolas Roman is currently registered with PFS Investments Inc.. PFS Investments Inc. is a Corporation that was formed in 1981 and is headquartered in Duluth, GA. The firm provides portfolio management for individuals. They manage approximately $8,461,983,895 in regulatory assets for 59,808 total accounts. PFS Investments Inc. is registered with the SEC and in 53 states.
PFS Investments Inc.

1 PRIMERICA PARKWAY

DULUTH, GA 30099-0001

$8.46B

Assets Under Management

Not reported

Total Clients

17,935

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.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Nicolas Roman’s Registration & Firm History

NY

01/16/2024 - Present

PFS Investments Inc. (HAUPPAUGE NY)

NY

04/22/2014 - 12/31/2023

PFS INVESTMENTS INC. (HAUPPAUGE NY)

NY

03/28/2012 - 08/22/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

03/11/2011 - 12/31/2011

PFS INVESTMENTS INC. (SADDLE BROOK NJ)

NJ

02/24/2003 - 12/31/2009

PFS INVESTMENTS INC. (SADDLE BROOK NJ)

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Licenses & Designations

BC

Issued 07/09/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/02/2017

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/21/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicolas Roman.
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