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Jeff Russell Roman

Charles Schwab & Co., Inc.

Napa, CA

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-13
  • CA RA
    APPROVED
    Since 2025-05-13

Branch Locations

935 Franklin Street, Napa, CA 94559 • 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
OrganizationCityStateFromTo
Northwestern Mutual Life Insurance Company Milwaukee WI 09/2024 03/2025
Northwestern Mutual Investment Services Llc Walnut Creek CA 12/2024 03/2025
Ha Financing Sonoma CA 06/2015 08/2024
Charles Schwab & Co., Inc Napa CA 04/2025 Present
Charles Schwab Bank Napa CA 04/2025 Present
  • 09/2024 → 03/2025
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 12/2024 → 03/2025
    Northwestern Mutual Investment Services Llc
    Walnut Creek, CA
  • 06/2015 → 08/2024
    Ha Financing
    Sonoma, CA
  • 04/2025 → Present
    Charles Schwab & Co., Inc
    Napa, CA
  • 04/2025 → Present
    Charles Schwab Bank
    Napa, CA
Other Businesses

1) Moose International - Lodge 516 | Investment Related:No|3275 Browns Valley Road|Napa|California |94558|United States|Nonprofit Charitable Organizations|Board Member|3/31/2025|Less than 20|0|Support in the general upkeep and maintenance of the lodge.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-02
  • S66 Uniform Combined State Law Examination
    2025-04-02
Other Names
  • Jeff Russell Roman

View on SEC IAPD

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Other Investors

ERIC FLORES GONZALES
CYNTHIA LYNN VOTH
Fabiana A Filips
Katherine Engel
Wyatt Raymond Knippen
Beatriz Adriana Buenrostro
Austin P Fitzpatrick
Christopher Micco

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
MORGAN STANLEY · Napa, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA

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