Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Ozimek is a financial professional with over 20 years of experience in the industry. Roman is currently registered with M Holdings Securities, Inc. in Newport Beach, CA. Roman has previously held positions at NYLIFE SECURITIES LLC, FINANCIAL TELESIS INC, NFP SECURITIES, INC., BRIDGMAN-BOURGER SECURITIES CORP. and AIG EQUITY SALES CORP. Roman has a strong track record of providing financial guidance to a diverse range of clients, including individuals, corporations, and institutions. Roman specializes in investment planning and portfolio management and has a deep understanding of the financial markets. Roman holds the Series 6, Series 63, and SIE 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.
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
CA
07/31/2014 - Present
M Holdings Securities, Inc. (Newport Beach CA)
MA
01/17/2014 - 07/01/2014
NYLIFE SECURITIES LLC (WESTWOOD MA)
MA
07/19/2011 - 04/11/2013
NYLIFE SECURITIES LLC (WESTWOOD MA)
NY
04/20/2009 - 03/14/2011
FINANCIAL TELESIS INC (NEW YORK NY)
TX
06/30/2008 - 04/01/2009
NFP SECURITIES, INC. (AUSTIN TX)
VT
11/28/2001 - 06/30/2008
BRIDGMAN-BOURGER SECURITIES CORP. (HINESBURG VT)
NY
11/23/1999 - 09/19/2001
AIG EQUITY SALES CORP. (NEW YORK NY)
CT
04/01/1999 - 07/17/1999
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
NY
07/02/1998 - 04/22/1999
MARSH & MCLENNAN SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 01/11/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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