Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roman? Claim Your ProfileRoman Baltram is a financial advisor with over 30 years of experience in the industry. Roman is currently registered with Charles Schwab & CO., Inc. in Los Angeles, CA. Roman has held previous roles with TD Ameritrade, Inc., OptionsXpress, Inc., CyberTrader, Inc. and Baraban Securities, Inc. Roman holds a variety of licenses and certifications, including the Series 3, 7, 9, 10, 24, 34 and 63 exams, as well as the SIE exam. Roman provides a variety of financial services, including financial planning and selection of other advisors.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
02/06/1990 - Present
Charles Schwab & CO., Inc. (Los Angeles CA)
NE
07/27/2021 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
AZ
09/02/2011 - 11/13/2017
OPTIONSXPRESS, INC. (PHOENIX AZ)
TX
08/18/2004 - 12/31/2004
CYBERTRADER, INC. (AUSTIN TX)
CA
09/19/1989 - 10/30/1989
BARABAN SECURITIES, INC. (LOS ANGELES CA)
BC
Issued 02/04/1991
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 11/12/2012
Series 24 - General Securities Principal Examination
BC
Issued 09/18/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2013
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 11/02/2011
Series 3 - National Commodity Futures Examination
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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