Roman Moriarty

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-06-27
NC	RA	APPROVED	2025-06-27

CA RA
APPROVED

Since 2025-06-27
NC RA
APPROVED

Since 2025-06-27

Branch Locations

1520 W Colorado Blvd, Pasadena, CA 91105 • United States

Charlotte, NC • 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
The Vanguard Group, Inc.	Charlotte	NC	07/2019	01/2020
Virginia Tech	Blacksburg	VA	07/2014	05/2017
Virginia Commonwealth University	Richmond	VA	08/2015	05/2018
Hungry Howie's	Charlotte	NC	06/2019	06/2019
Lovesushi	Charlotte	NC	03/2019	05/2019
Live Nation	Charlotte	NC	05/2019	06/2019
Virginia Department Of Transportation	Richmond	VA	06/2016	04/2017
Eagle Engineering Corporation	Baltimore	MD	06/2017	08/2017
Eagle Engineering Corporation	Baltimore	MD	08/2017	05/2018
Sushiking	Richmond	VA	08/2018	02/2019
Nissan Of Richmond	Richmond	VA	08/2018	08/2018
Commonwealth Timing	Richmond	VA	09/2017	02/2018
Cinesports, Llc	Richmond	VA	08/2017	08/2018
Modelogic	Richmond	VA	12/2015	01/2020
Insight Global	Charlotte	NC	02/2020	10/2020
Sunlight Financial	Charlotte	NC	11/2020	07/2022
Ubs Financial Services Inc.	Charlotte	NC	08/2022	03/2023
Ameriprise Financial Services, Llc	Charlotte	NC	04/2023	05/2025
Firefighters First Credit Union	Pasadena	CA	06/2025	Present
Lpl Financial, Llc	Pasadena	CA	06/2025	Present

07/2019 → 01/2020

The Vanguard Group, Inc.

Charlotte, NC
07/2014 → 05/2017

Virginia Tech

Blacksburg, VA
08/2015 → 05/2018

Virginia Commonwealth University

Richmond, VA
06/2019 → 06/2019

Hungry Howie's

Charlotte, NC
03/2019 → 05/2019

Lovesushi

Charlotte, NC
05/2019 → 06/2019

Live Nation

Charlotte, NC
06/2016 → 04/2017

Virginia Department Of Transportation

Richmond, VA
06/2017 → 08/2017

Eagle Engineering Corporation

Baltimore, MD
08/2017 → 05/2018

Eagle Engineering Corporation

Baltimore, MD
08/2018 → 02/2019

Sushiking

Richmond, VA
08/2018 → 08/2018

Nissan Of Richmond

Richmond, VA
09/2017 → 02/2018

Commonwealth Timing

Richmond, VA
08/2017 → 08/2018

Cinesports, Llc

Richmond, VA
12/2015 → 01/2020

Modelogic

Richmond, VA
02/2020 → 10/2020

Insight Global

Charlotte, NC
11/2020 → 07/2022

Sunlight Financial

Charlotte, NC
08/2022 → 03/2023

Ubs Financial Services Inc.

Charlotte, NC
04/2023 → 05/2025

Ameriprise Financial Services, Llc

Charlotte, NC
06/2025 → Present

Firefighters First Credit Union

Pasadena, CA
06/2025 → Present

Lpl Financial, Llc

Pasadena, CA

Previous Registrations

2023-04-05 → 2025-05-12

Ameriprise Financial Services, Llc

Charlotte, NC

Charlotte, NC
2022-10-02 → 2023-04-12

Ubs Financial Services Inc.

Charlotte, NC

Weehawken, NJ

Charlotte, NC

Other Businesses

1. 06/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Firehouse Financial - Investment Related - At Reported business location(s) - Start Date 6/2025 2. 06/2025 - Modeling ( Sole Proprietorship / 1099) - Outside/W-2 Employment - Not Investment Related - 4 Hrs/Mth - 0 Hrs During Trading - Charlotte, NC 27406 - OBA Start Date: 04/01/2023 3. 06/2025 - Rental Townhome - Real Estate Rental - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading - Charlotte, NC 91105 - OBA Start Date: 05/01/2023 4. 11/18/2025 - Business Owner - Selling Car Stickers - Not Investment Related - Online - Start Date 11/06/2025 - 2 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-10-01
S63	Uniform Securities Agent State Law Examination	2019-09-06

S66 Uniform Combined State Law Examination

2022-10-01
S63 Uniform Securities Agent State Law Examination

2019-09-06

Designations

Other Names

Roman Moriarty
Roman Tomas Moriarty

View on SEC IAPD