Herbert Roman is a registered investment advisor, based in New City, NY, with 9 years of industry experience.
Location
New City, NY
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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 ActivitiesSells Insurance
Herbert is a life insurance representative with National Life Group, spending about 10-20% of his time selling and servicing life insurance policies. He also dedicates time to a charity focused on teaching golf to children, a competitive golf tour and merchandise company, and an indoor golf facility.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
Cetera Investment Advisers LLC
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
Pruco Securities, LLC.Broker
Prudential Financial Planning Services
Esi Financial Advisors
Equity Services, INC.Broker
State Registrations7 states
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