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Roman Joseph Puglise

Upholdings

Nashville, TN

Charleston, SC

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Current Employers
Upholdings

1030 16Th Ave S 2Nd Floor #50, Nashville, TN 37212 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-08-06
SC RA APPROVED 2025-07-17
  • CA RA
    APPROVED
    Since 2025-08-06
  • SC RA
    APPROVED
    Since 2025-07-17

Branch Locations

1030 16Th Ave S 2Nd Floor #50, Nashville, TN 37212 • United States

Charleston, SC • 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
Education Lorton VA 11/2012 05/2022
United Bank Tysons Corner VA 06/2021 08/2022
Mariner Wealth Advisors Los Angeles CA 08/2022 11/2022
Mariner Wealth Advisors Los Angeles CA 11/2022 04/2025
Upholdings Group Llc Charleston SC 07/2025 Present
Upholdings Group Llc Charleston SC 04/2025 Present
  • 11/2012 → 05/2022
    Education
    Lorton, VA
  • 06/2021 → 08/2022
    United Bank
    Tysons Corner, VA
  • 08/2022 → 11/2022
    Mariner Wealth Advisors
    Los Angeles, CA
  • 11/2022 → 04/2025
    Mariner Wealth Advisors
    Los Angeles, CA
  • 07/2025 → Present
    Upholdings Group Llc
    Charleston, SC
  • 04/2025 → Present
    Upholdings Group Llc
    Charleston, SC
Previous Registrations
  • 2022-12-13 → 2025-04-30
    Los Angeles, CA
Other Businesses

Premier Lacrosse League (PLL), 222 North Pacific Coast Highway, Suite 1310, El Segundo, California, 90245. PLL is a professional sports league focused on men's lacrosse. Not investment related. Paid to play lacrosse as professional athlete, Start date June 2022, 25 hours per month during the season which runs from late May to late September each year, weekends only.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-12-13
  • S65 Uniform Investment Adviser Law Examination
    2022-12-13

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