Daniel Roman

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

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

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-05-16
TX	RA	APPROVED	2023-05-16

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
E*Trade Securities Llc	Alpharetta	GA	11/2020	07/2021
Shanghai Liaoyuan Bilingual School	Shanghai		08/2019	06/2020
Kool Wine Inc	South Orange	NJ	09/2017	05/2018
Ch Robinson	Voorhees	NJ	01/2016	05/2017
Boys Scouts Of America - Westchester-Putnam Council	Hawthorne	NY	05/2017	08/2017
Unemployed	Maplewood	NJ	05/2018	08/2018
Unemployed	Maplewood	NJ	06/2020	11/2020
Ef English First	Shanghai		08/2018	08/2019
Ubs Financial Services Inc.	Paramus	NJ	08/2021	05/2023
Wells Fargo Clearing Services, Llc	New York	NY	05/2023	Present

11/2020 → 07/2021

E*Trade Securities Llc

Alpharetta, GA
08/2019 → 06/2020

Shanghai Liaoyuan Bilingual School

Shanghai
09/2017 → 05/2018

Kool Wine Inc

South Orange, NJ
01/2016 → 05/2017

Ch Robinson

Voorhees, NJ
05/2017 → 08/2017

Boys Scouts Of America - Westchester-Putnam Council

Hawthorne, NY
05/2018 → 08/2018

Unemployed

Maplewood, NJ
06/2020 → 11/2020

Unemployed

Maplewood, NJ
08/2018 → 08/2019

Ef English First

Shanghai
08/2021 → 05/2023

Ubs Financial Services Inc.

Paramus, NJ
05/2023 → Present

Wells Fargo Clearing Services, Llc

New York, NY

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-12-18
S63	Uniform Securities Agent State Law Examination	2021-06-14

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