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Detailed Report
RIC R ROMAN II
RIC R ROMAN
CRD#: 5791667
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 1460 NORTH LAKE AVE.
STE 104
PASADENA, CA 91104
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2012 (1 year)2 FIRMS2012 - Present (13 years)
License(s)

State Registrations

B
California 1/6/2012
IA
North Carolina 10/11/2021
IA
California 1/6/2012
B
Texas 7/21/2014
B
Florida 4/22/2022
IA
Texas 7/21/2014
B
Massachusetts 3/13/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
1460 NORTH LAKE AVE. STE 104, PASADENA, CA 91104
Registered with this firm since 1/6/2012
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
1460 NORTH LAKE AVE. STE 104, PASADENA, CA 91104
Registered with this firm since 1/6/2012
Previous Registration(s)
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IA
 08/12/2010 - 01/06/2012 INVESTMENT ADVISORS INTERNATIONAL, INC. (CRD#:139233) ENCINO, CA
B
 06/25/2010 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) ENCINO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.