Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roma? Claim Your ProfileRoma Rushing Hall is an Investment Advisor Representative with Ameriprise Financial Services, LLC. Roma has been working in the financial services industry since 2016. Roma is licensed to provide financial services in Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, New York, North Carolina, South Carolina, Texas, Utah, Virginia and West Virginia. Roma is also licensed to provide investment advice in North Carolina and Texas. Roma holds the Series 7, Series 63 and Series 65 licenses. Roma also holds the SIE license. Roma has been registered with Ameriprise Financial Services, LLC since 2020. Previously, Roma was registered with JANNEY MONTGOMERY SCOTT LLC and WELLS FARGO ADVISORS, LLC.
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.
Asset allocation services
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.
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2
NC
02/06/2019 - Present
Ameriprise Financial Services, LLC (Winston Salem NC)
NY
02/17/2016 - 07/06/2017
JANNEY MONTGOMERY SCOTT LLC (SYRACUSE NY)
NY
11/17/2015 - 02/16/2016
WELLS FARGO ADVISORS, LLC (SYRACUSE NY)
IA
Issued 03/06/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/31/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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