Roman Raies is a registered investment advisor at Southeast Investments, N.c., INC., based in Charlotte, NC. Roman is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.00% |
| $250K - $2.0M | 1.00% |
| $2M+ | 1.00% |
Fees for portfolios above $2,000,000 are negotiable. Related client accounts may be grouped to meet the minimum.
Fee Estimator
Location
820 Tyvola Road, Suite 104, Charlotte, NC, 28217
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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 →Employment History
Current Registrations
Southeast Investments, N.c., INC.
Southeast Investments, N.c., INC.Broker
Previous Registrations
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
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.
Exams
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