Roman George Jarosh

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-07-31
NY	RA	APPROVED	2025-07-10

TX RA
APPROVED_RES

Since 2025-07-31
NY RA
APPROVED

Since 2025-07-10

Branch Locations

Queensbury, NY • 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
Cadaret, Grant & Co., Inc.	Queensbury	NY	08/1985	Present
Lpl Financial Llc	Queensbury	NY	07/2025	Present

08/1985 → Present

Cadaret, Grant & Co., Inc.

Queensbury, NY
07/2025 → Present

Lpl Financial Llc

Queensbury, NY

Previous Registrations

2021-05-04 → 2025-07-10

Cadaret, Grant & Co., Inc.

Syracuse, NY

Cobleskill, NY

Syracuse, NY

Cobleskill, NY

Queensbury, NY

Syracuse, NY

Syracuse, NY

Syracuse, NY

Other Businesses

ROMAN G. JAROSH, QUEENSBURY, NY, INVESTMENT RELATED, START 1/04, 240 HRS MONTHLY, 240 HRS MONTHLY DURING TRADING, SALE OF MUTUAL FUNDS, VARIABLE ANNUITIES, LIFE AND HEALTH INSURANCE, FIXED ANNUITIES, APPROVED LIMITED PARTNERSHIPS, PROPRIETARY AND THIRD PARTY ASSET MANAGEMENT PROGRAMS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-11-19

S63 Uniform Securities Agent State Law Examination

2001-11-19

View on SEC IAPD