Individual Firm
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ROBERTO ROMAN
ROBERT ROMAN
CRD#: 4609381
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MGO PRIVATE WEALTH, LLCCRD#: 283909 111 PACIFICA
SUITE 300
IRVINE, CA 92618
SUITE 300
IRVINE, CA 92618
View By:
2/3/2009
Customer Dispute
Denied
State Registrations
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California 7/25/2016
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Texas 8/21/2023
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Registered with this firm since 7/25/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/23/2011 - 12/31/2016 | NEWPORT BEACH, CA | |
IA | 09/09/2009 - 11/28/2011 | IRVINE, CA | |
IA | 09/04/2007 - 09/14/2009 | NEWPORT BEACH, CA | |
IA | 02/09/2007 - 08/21/2007 | IRVINE, CA | |
IA | 11/15/2005 - 02/16/2007 | NEWPORT BEACH, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.