Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Schweizer is a financial advisor with over 12 years of experience in the industry. Roman is currently registered with TD Securities (USA) LLC, where Roman has been employed since March 7, 2024. Previously, Roman worked at Cowen and Company from August 2016 to April 2024, Guggenheim Securities, LLC from November 2011 to August 2016 and MF Global Inc. from April 2011 to December 2011. Roman holds FINRA Series 7, 86, 87 and SIE licenses as well as a Series 63 license. Roman is registered in New York and the District of Columbia.
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.
1
2
NY
03/07/2024 - Present
TD Securities (usa) LLC (New York NY)
DC
08/09/2016 - 04/11/2024
COWEN AND COMPANY (WASHINGTON DC)
DC
11/18/2011 - 08/05/2016
GUGGENHEIM SECURITIES, LLC (WASHINGTON DC)
DC
04/22/2011 - 12/01/2011
MF GLOBAL INC. (WASHINGTON DC)
BC
Issued 05/13/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2015
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/04/2015
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 04/21/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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