Douglas James Roman

Current Employers

Gamma Asset Management Llc

Edificio Ochoa 500 Calle De La Tanca Suite 305, San Juan, PR 00901-1969 • United States

Current Registrations

Authority	Category	Status	Date
PR	RA	APPROVED	2022-02-02

PR RA
APPROVED

Since 2022-02-02

Branch Locations

Bryn Mawr, PA • United States

Edificio Ochoa 500 Calle De La Tanca Suite 305, San Juan, PR 00901-1969 • 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
Pnc Bank	Philadelphia	PA	06/2002	07/2021
Legacy Investment Advisors, Llc	Mt. Laurel	NJ	07/2021	Present
Gamma Securities, Llc	Puerto Rico	PR	12/2021	Present

06/2002 → 07/2021

Pnc Bank

Philadelphia, PA
07/2021 → Present

Legacy Investment Advisors, Llc

Mt. Laurel, NJ
12/2021 → Present

Gamma Securities, Llc

Puerto Rico, PR

Previous Registrations

2021-08-04 → 2021-11-01

Legacy Investment Advisors, Llc

Voorhees, NJ

Other Businesses

Roman Realities is a real estate business and not investment related. Business location is 209 Cornell Drive, Bryn Mawr, PA. Nature of business is real estate. My position is co-owner. Date started was March 2020. Devote approx. five hours per month and zero hours during securities trading hours. As co-owner I hire maintenance personnel.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-02-14
S65	Uniform Investment Adviser Law Examination	1993-06-09

S63 Uniform Securities Agent State Law Examination

1997-02-14
S65 Uniform Investment Adviser Law Examination

1993-06-09

Designations

View on SEC IAPD