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Roman Eppel

Edward Jones

Brooklyn, NY

CRD 3029923

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Employer firm

Edward Jones CRD 250

$1.01T regulatory AUM 28,751 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-02-13
  • NY RA
    APPROVED
    Since 2026-02-13

Branch Locations

456 5Th Ave Suite 202, Brooklyn, NY 11215-0000 • United States

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Brooklyn NY 06/2010 09/2016
Citigroup New York NY 10/2016 04/2024
New York Life/Eagle Strategies Llc New York NY 06/2024 01/2025
Td Bank Na New York NY 01/2025 02/2026
Edward Jones St. Louis MO 02/2026 Present
  • 06/2010 → 09/2016
    Jp Morgan
    Brooklyn, NY
  • 10/2016 → 04/2024
    Citigroup
    New York, NY
  • 06/2024 → 01/2025
    New York Life/Eagle Strategies Llc
    New York, NY
  • 01/2025 → 02/2026
    Td Bank Na
    New York, NY
  • 02/2026 → Present
    St. Louis, MO
Previous Registrations
  • 2025-02-03 → 2026-02-20
    Brooklyn, NY
    New York, NY
  • 2024-10-18 → 2025-02-03
    New York, NY
  • 2016-10-07 → 2024-05-15
    Brooklyn, NY
    Long Island City, NY
    Greenwich, CT
    Bay Shore, NY
    Brooklyn, NY
    Fort Lee, NJ
    Fort Lee, NJ
  • 2012-10-01 → 2016-10-13
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
  • 2011-11-29 → 2012-10-01
    Chase Investment Services Corp.
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
    Brooklyn, NY
Other Businesses

Self Type of business: Rental Property Brooklyn, NY Start date: 8/1/2015 Owner Hours per week: 1 Hours during trading: 0 Maintain property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-27
S63 Uniform Securities Agent State Law Examination 2010-07-30
  • S66 Uniform Combined State Law Examination
    2011-11-27
  • S63 Uniform Securities Agent State Law Examination
    2010-07-30

View on SEC IAPD

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