Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Rodriguez is a financial professional with over five years of experience in the financial services industry. Roman has a strong background in investments, having held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc. Currently, Roman is an Investment Advisor Representative at J.P. Morgan Securities LLC, where Roman provides financial advice and investment management services. Roman holds Series 6, 7, 9, 10, 24, 63, and 66 licenses. Roman is registered in several states to offer investment advice. Roman is dedicated to helping clients achieve their financial goals.
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.
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.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
12/23/2020 - Present
J.p. Morgan Securities LLC (Northridge CA)
CA
11/27/2018 - 11/27/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
11/23/2015 - 01/02/2019
CITIGROUP GLOBAL MARKETS INC. (GLENDALE CA)
BOTH
Issued 12/13/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/16/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/23/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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