Christopher Robert Roman

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2006-10-17

FL RA
APPROVED

Since 2006-10-17

Branch Locations

7893 113Th St, Seminole, FL 33772 • United States

1819 Main St Ste 230 [A8-Rbo], Sarasota, FL 34236 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Tampa	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Tampa	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Tampa, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Tampa, FL

Previous Registrations

2004-08-09 → 2006-10-03

Banc Of America Investment Services, Inc.

Tampa, FL

Tampa, FL
2002-09-30 → 2003-09-15

Ubs Financial Services Inc.

Tampa, FL

Other Businesses

SUCCESSOR TRUSTEE FOR AUNT ; NOT INV RELATED; SARASOTA, FL; SUCCESSOR TRUSTEE; START DATE: 08/26/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; | POWER OF ATTORNEY FOR AUNT; INV RELATED; SARASOTA, FL; POA; START DATE: 08/26/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-09-24

S66 Uniform Combined State Law Examination

2002-09-24

Designations

Certified Financial Planner

Other Names

Christopher Roman

View on SEC IAPD