Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Sosunov is a registered representative with Wells Fargo Clearing Services, LLC. Roman has been in the financial services industry since April 15, 2015. Roman has experience with a variety of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Redwood Trading, LLC, and Orion Trading, LLC. Roman holds FINRA Series 7, 9, 10, 55, 63, and 66 licenses. Roman is also registered as an investment advisor representative in Florida. Roman is registered to provide securities and investment advisory services in Florida. Roman specializes in providing financial planning, portfolio management, and investment consulting services to individuals and businesses. Roman is also licensed to provide pension consulting services. Roman is committed to providing clients with personalized service and helping them 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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/05/2020 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
FL
06/14/2017 - 04/14/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WEEKI WACHEE FL)
CA
02/15/2002 - 03/22/2002
REDWOOD TRADING, LLC (SAN FRANCISCO CA)
FL
08/07/2001 - 02/27/2002
ORION TRADING, LLC (WINTER PARK FL)
NE
03/02/1999 - 02/22/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
08/19/1998 - 10/28/1998
RAS SECURITIES CORP. (NEW YORK NY)
NY
06/29/1998 - 08/19/1998
FORDHAM FINANCIAL MANAGEMENT, INC. (NEW YORK NY)
NY
02/20/1998 - 07/06/1998
WOLFF INVESTMENT GROUP INCORPORATED (NEW YORK NY)
NY
01/01/1998 - 01/02/1998
W.J. NOLAN & COMPANY, INC. (NEW YORK NY)
BOTH
Issued 07/26/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/19/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/23/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/07/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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