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Detailed Report
KENNETH MICHAEL ROMAN
CRD#: 1911798
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Previous Investment Adviser
0
Disclosures
19
Years of Experience
3
Firms
0
Licenses
Registration History
200220042006200820102012201420162018202020222024IAKEN ROMAN, INC. (CRD# 166525)2013 - 2024 (11 years)IAINDEPENDENT FINANCIAL GROUP, LLC (CRD# 7717)2009 - 2010 (1 year)IAWATERSTONE FINANCIAL GROUP, INC. (CRD# 10078)2002 - 2009 (6 years)
Previous Registration(s)
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 04/03/2013 - 12/31/2024 KEN ROMAN, INC. (CRD#:166525) CHICAGO, IL
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 11/12/2009 - 12/08/2010 INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717) CHICAGO, IL
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 11/01/2002 - 09/09/2009 WATERSTONE FINANCIAL GROUP, INC. (CRD#:10078) CHICAGO, IL
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.