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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Eppel is a financial advisor with TD Private Client Wealth LLC. Roman has been in the industry since 2008 and has experience working with individuals, businesses, pension plans, and charitable organizations. Roman has been registered with the state of New York since 2024. Roman has a strong background in investment management, and has held licenses with CITIGROUP GLOBAL MARKETS INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., and CONTINENTAL BROKER-DEALER CORP. Roman holds the Series 6, 7, and 66 licenses.
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.
A percentage of the total value of assets under management is charged.
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2
NY
02/03/2025 - Present
TD Private Client Wealth LLC (Brooklyn NY)
NY
10/06/2016 - 05/15/2024
CITIGROUP GLOBAL MARKETS INC. (BROOKLYN NY)
NY
10/01/2012 - 10/13/2016
J.P. MORGAN SECURITIES LLC (BROOKLYN NY)
NY
07/14/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)
NY
04/24/1998 - 08/04/2000
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 11/27/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/30/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/13/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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