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Mount Juliet, TN • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-03-28 |
| TN | RA | APPROVED | 2023-03-23 |
Branch Locations
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Conshohocken | PA | 10/2011 | 11/2016 |
| Kestra Investment Services, Llc Dba Roman Wealth Management | Drexel Hill | PA | 11/2016 | 03/2023 |
| Kestra Advisory Services, Llc Dba Roman Wealth Management | Drexel Hill | PA | 11/2016 | 03/2023 |
| Roman Wealth Management, Llc | Mount Juliet | TN | 03/2023 | Present |
Board President for the Joe Beretta Heart Foundation, a 501(c)(3). He spends approximately 15-20 hours a month on this activity. Business Name: ROMAN WEALTH MANAGEMENTT, LLC POSITION: Owner NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/27/2023 ADDRESS: 895 Pleasant Grove Road, Mount Juliet TN 37122, United States DESCRIPTION: All duties and obligations pertinent to running an RIA business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-23 |
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