Aaron Roman is a registered investment advisor at Osaic Institutions, INC., based in Waxhaw, NC, with 26 years of industry experience. Aaron operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
Waxhaw, NC
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Aaron is the head soccer coach for a youth soccer team with the Wesley Chapel Weddington Athletic Association since 2015. This activity is not investment-related and takes about 10-20% of his time.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Institutions, INC.
Osaic Institutions, INC.
Previous Registrations
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
LPL Financial LLCBroker
Metlife Investors Distribution CompanyBroker
Tower Square Securities, INC.Broker
Webster Investment Services, INC.Broker
Olde Discount CorporationBroker
TD Waterhouse Investor Services, INC.Broker
Joseph Charles & Assoc., INC.Broker
First Investors CorporationBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.