Ruperto Roman Jr

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

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

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

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2015-06-11

FL RA
APPROVED

Since 2015-06-11

Branch Locations

Coral Springs, FL • United States

2200 N Commerce Parkway Suite 200, Weston, FL 33326 • 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
Roman Enterprises & Associates Inc	04/2015	NY	06/2015	Present
Jltd Inc.	Boca Raton	FL	06/2015	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2015	Present
Cetera Financial Specialists Llc	Schaumburg	IL	06/2015	Present

06/2015 → Present

Roman Enterprises & Associates Inc

04/2015, NY
06/2015 → Present

Jltd Inc.

Boca Raton, FL
06/2015 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
06/2015 → Present

Cetera Financial Specialists Llc

Schaumburg, IL

Previous Registrations

2013-01-28 → 2015-06-02

Pfs Investments Inc.

Elmsford, NY

West Palm Beach, FL

Other Businesses

1) ROMAN ENTERPRISES & ASSOCIATES INC.; NOT INVESTMENT RELATED; 4 SHAKER CT., NEW WINDSOR, NY 12553; TAX PREPARATION; START 6/2015; 2 HOURS/WEEK DURING TRADING HOURS; TAX PREPARER 2) JLTD INC., NOT INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; S CORP; START 08/2018, 35 HOURS/WEEK DURING TRADING HOURS; OWNER WITH SPOUSE, DUTIES INCLUDE: BUSINESS CONSULTING, FINANCIAL DEVELOPMENT, OUTSOURCED CFO SERVICES, ACCOUNTING SOFTWARE REVIEW, SET UP AND MONITOR ACCOUNTING SYSTEMS. 3) DREAMS TO REALITY WEALTH MANAGEMENT LLC; INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; DBA FOR INVESTMENT PRACTICE; START 7/2015; 25 HOURS/WEEK DURING SECURITIES TRADING HOURS; OWNER.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-01-15
S63	Uniform Securities Agent State Law Examination	2007-07-13

S65 Uniform Investment Adviser Law Examination

2013-01-15
S63 Uniform Securities Agent State Law Examination

2007-07-13

View on SEC IAPD