Roberto Roman

Current Employers

Gentrust

1450 Brickell Avenue Suite 3050, Miami, FL 33131 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-12-05

CA RA
APPROVED

Since 2025-12-05

Branch Locations

Tustin, CA • United States

1450 Brickell Avenue Suite 3050, Miami, FL 33131 • United States

Legacy Pcg, Llc

888 San Clemente Drive Suite 400, Newport, CA 92660 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-08-21
CA	RA	APPROVED	2016-07-25

TX RA
APPROVED_RES

Since 2023-08-21
CA RA
APPROVED

Since 2016-07-25

Branch Locations

888 San Clemente Drive Suite 400, Newport, CA 92660 • 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

Organization	City	State	From	To
Legacy Pcg, Llc	Newport Beach	CA	07/2016	Present
Gentrust Llc	Miami	FL	10/2025	Present

07/2016 → Present

Legacy Pcg, Llc

Newport Beach, CA
10/2025 → Present

Gentrust Llc

Miami, FL

Previous Registrations

2011-11-23 → 2016-12-31

Legacy Private Client Group, Inc.

Kamas, UT
2009-09-09 → 2011-11-28

Morgan Stanley

Irvine, CA
2007-09-04 → 2009-09-14

Ubs Financial Services Inc.

Newport Beach, CA
2007-02-09 → 2007-08-21

Wells Fargo Advisors Financial Network, Llc

Aliso Viejo, CA
2005-11-15 → 2007-02-16

Ubs Financial Services Inc.

Newport Beach, CA

Newport Beach, CA

Other Businesses

Hartbeat Ventures start 03/2019- Invests in pre IPO/late stage companies. Role is to identify and recommend opportunities in tech, consumer and sports industries. Co-investing with venture capital funds.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-14

S66 Uniform Combined State Law Examination

2005-11-14

Other Names

Robert Roman

View on SEC IAPD