Herbert Jay Roman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2014 → 10/2021
  Integrated Financial Concepts Llc
  Staten Isalnd, NY
• 03/2016 → 10/2021
  Equity Services, Inc.
  Montpelier, VT
• 11/2021 → 01/2024
  Prudential Insurance Company Of America
  New York, NY
• 11/2021 → 01/2024
  Pruco Securities, Llc
  New York, NY
• 05/2021 → Present
  The Challengers Tour Corp.
  Nyack, NY
• 02/2022 → Present
  Challenger Bay Corp.
  Nyack, NY
• 01/2024 → 09/2025
  Avantax Investment Services Inc.
  New City, NY
• 01/2024 → 09/2025
  Avantax Insurance Agency, Llc
  New City, NY
• 01/2024 → 09/2025
  Avantax Advisory Services
  New City, NY
• 05/2021 → Present
  The Challengers Tour Corp
  Nyack, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  New City, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-01-04 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  New City, NY
• 2021-11-03 → 2024-01-11
  Pruco Securities, Llc.
  Brooklyn, NY
  White Plains, NY
  New York, NY
• 2021-06-22 → 2021-11-04
  Equity Services, Inc.
  Staten Island, NY
  New York, NY
  Red Bank, NJ

Other Businesses

NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: 5 Hillman Rd New City, NY 10956; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/01/2014; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS CHALLENGEXCCEPTED INC.; Director; This company will be a 501C3 once the filing process is complete with the IRS. The mission of this charity will be to teach children with limited resources how to play the game of golf. Currently this business does not generate any revenue and has limited expenses in relation to filing fees. The company and charity will be operational by the year 2025. NIR; HRS 10; HRS 10; 11/09/2021; 306 Route 59, Nyack NY 10960, United States; Owner, operator and managing director of all finances, events and correspondence. My duties include but are not limited to: Private lessons with children and adults of limited resources at no charge (Free Lessons). Acquiring and Providing the necessary resources for the students to learn. Maintaining and servicing the equipment used for teaching students. Hosting fundraising events to support the charitable mission of bringing the game of golf to people with limited resources. Overseeing all accounts payable and receivable. Hiring, training and scheduling staff. THE CHALLENGERS TOUR CORP; Owner; Competitive golf tour and merchandise company. The Challengers Tour hosts golf tournaments and golf outings, caters each event, and offers proprietary merchandise (hats, shirts, etc.) at all hosted events. NIR; HRS 10; HRS 10; 05/26/2021; 306 Route 59, Nyack NY 10960, United States; Owner, president, managing director or finance and operations. Scheduling golf tournaments, hosting golf tournaments, providing service at golf tournaments, maintaining scores at golf tournaments, maintaining orders and overseeing accounts payable and receivable for tournaments. Designing merchandise for the league and the brand. Fashion design, marketing and advertising. CHALLENGER BAY CORP; Owner NATURE: Indoor golf facility that serves craft beer and wine, hosts private parties, and provides golf instruction to the public. NIR; HRS 30; HRS 30; 02/15/2022; 306 Route 59, Nyack NY 10960, United States; I am a majority shareholder, President of the corporation and Managing Partner of all operations. My duties include but are not limited to: Golf Instruction and private lessons, Bartending, Marketing, Managing, Architecture and Design, Technology Maintenance, Hire, Schedule and Manage Staff, Manage Accounts Payable and Receivable, Schedule, Host and Serve Parties, Cleaning and Maintenance.

Exams

• S63 Uniform Securities Agent State Law Examination
  2016-11-21

Other Names

• Herbert Roman
• Jay Roman
• Herbert J Roman