Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Pickering is an investment advisor representative who has been in the industry since 1995. Roman is currently registered with Truist Advisory Services, Inc. and is also registered in 52 states as well as Puerto Rico. Roman has a broad range of experience in the financial services industry and holds Series 3, 7, 9, 10, 24, 63, and 66 licenses. Roman has a wide range of experience and expertise to serve the individual and business clients of Truist Advisory Services.
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.
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.
Wrap fee product and financial profiling services using desktop software
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
VA
09/21/2016 - Present
Truist Advisory Services, Inc. (RICHMOND VA)
MO
01/18/2006 - 11/27/2007
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
TX
05/24/2005 - 02/01/2006
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
01/06/1995 - 08/18/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
08/22/1994 - 11/03/1994
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NY
07/06/1994 - 09/15/1994
HIBBARD BROWN & CO., INC. (NEW YORK NY)
NY
08/08/1994 - 08/19/1994
WESTFIELD FINANCIAL CORPORATION (NEW YORK NY)
BOTH
Issued 08/29/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/19/2008
Series 24 - General Securities Principal Examination
BC
Issued 06/23/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2006
Series 3 - National Commodity Futures Examination
BC
Issued 07/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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