Roman Alpert is a CFA-designated registered investment advisor, based in New York, NY, with 10 years of industry experience. Roman is also registered as a broker, so some compensation may come from commissions on products sold.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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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.
Learn about disclosures →Employment History
Current Registrations
Cnr Securities, LLCBroker
May 2016 - Present · 10 yrs 5 mos
RBC Rochdale, LLC
March 2016 - Present · 10 yrs 7 mos
State Registrations40 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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