Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert John Roman is a financial advisor with over 27 years of experience in the industry. Roman is currently registered with Lasalle St Securities, LLC, a firm based in Bettendorf, IA. Previously, he was registered with Eisner Securities, Inc. and Ascend Financial Services, Inc. Roman holds several securities licenses, including Series 6, 7, 24, and 63. He is registered in 27 states and is currently active in the Broker-Dealer (BC) scope. Roman specializes in providing financial advice to clients in a variety of areas.
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.
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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2
IA
09/29/2001 - Present
Lasalle ST Securities, LLC (Bettendorf IA)
MO
04/12/1999 - 09/28/2001
EISNER SECURITIES, INC. (ST. LOUIS MO)
MN
08/08/1995 - 03/29/1999
ASCEND FINANCIAL SERVICES, INC. (ST. PAUL MN)
IA
Issued 03/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/07/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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