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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2005-07-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual | Novato | CA | 05/1997 | Present |
| Mml Investor Services | Novato | CA | 08/2001 | Present |
(1) NAME: RICHARD W ROMAN INV REL: Y ADD: 405 ENFRENTE ROAD SUITE 110 NOVATO CA 94949 NATURE: INSURANCE POSITION: AGENT START DATE: 7/17/01 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 (2) NAME: RICHARD W ROMAN INV REL: Y ADD: 718 SANTA ALICIA ROHNERT PARK CA 94928; 3515 FERNDALE AVE NOVATO CA 94949; 2900 YULUPA AVE SANTA ROSA CA 95405, 1090 ELEANOR AVE ROHNERT PARK CA 94928 NATURE: RENTAL PROPERTY POSITION: OWNER/PROPERTY MANAGER START DATE: 8/8/08 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: COLLECT RENT/PAY BILLS (3) NAME: RICHARD W ROMAN INV REL: Y ADD: 19 BALRA DR NOVATO CA 94947 AND 43564 BALMORE CT INDIO CA 92201 NATURE: RENTAL INCOME POSITION: OWNER START DATE: 6/1/2023 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DUTIES: COLLECT RENTS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-24 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-19 |
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