Roman Samuels is a registered investment advisor, based in Seattle, WA, with 12 years of industry experience.
Location
401 Union Street, 18th Floor, Seattle, WA, 98101
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Regulatory History
Clean regulatory record
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.
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Roman is a musician and formed Gemini Records LLC in 2013 to copyright music. He dedicates a few hours per week to this non-investment related activity.
Employment History
Current Registrations
Russell Investments Financial Services, LLC
June 2019 - Present · 6 yrs 11 mos
Russell Investments Financial Services, LLCBroker
June 2019 - Present · 6 yrs 11 mos
Russell Investments
May 2019 - Present · 7 yrs
Previous Registrations
Sage Advisory Services LTD CO
January 2018 - May 2019 · 1 yr 4 mos
Ultimus Fund Distributors, LLCBroker
July 2012 - August 2016 · 4 yrs 1 mo
State Registrations3 states
LATXWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.