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James Arthur Roman

Morgan Stanley

Wichita, KS

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-10-27
KS RA APPROVED 2016-08-04
  • TX RA
    APPROVED_RES
    Since 2020-10-27
  • KS RA
    APPROVED
    Since 2016-08-04

Branch Locations

1617 North Waterfront Parkway Suite 200, Wichita, KS 67206 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Wichita KS 05/2016 Present
Morgan Stanley Private Bank, N.A. New York NY 08/2016 Present
  • 05/2016 → Present
    Morgan Stanley
    Wichita, KS
  • 08/2016 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Previous Registrations
  • 2002-12-19 → 2007-05-15
    Banc Of America Investment Services, Inc.
    Wichita, KS
    Wichita, KS
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-04
S63 Uniform Securities Agent State Law Examination 2001-07-18
  • S66 Uniform Combined State Law Examination
    2016-08-04
  • S63 Uniform Securities Agent State Law Examination
    2001-07-18
Other Names
  • James Arthur Roman
  • Jim Roman

View on SEC IAPD

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