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RIA / WealthAdvisor36 years in industry

ANGELO EDWARD ROMAN

Advisor at ROMAN WEALTH MANAGEMENT, LLC

MOUNT JULIET, TN

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Search this name across graphsid dfx:ria:44a47528-762a-8981-0e87-43d5f3ccf731

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 21, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROMAN WEALTH MANAGEMENT, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 23, 1989
First registration: Jan 21, 2004
Dual registered: no
IAPD individual key: 1989113

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ROMAN WEALTH MANAGEMENT, LLC	State registered	Mar 23, 2023	n/a	yes	MOUNT JULIET, TN	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 4, 2016	May 31, 2023	no	Drexel Hill, PA\|AUSTIN, TX\|Mount Juliet, TN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 21, 2011	Nov 4, 2016	no	CONSHOHOCKEN, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 21, 2004	Oct 24, 2011	no	WAYNE, PA\|DREXEL HILL, PA\|DREXEL HILL, PA\|DREXEL HILL, PA\|ALLENTOWN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KESTRA ADVISORY SERVICES, LLC	ROMAN WEALTH MANAGEMENT, LLC	May 31, 2023	Mar 23, 2023	-69	Firm change after gap	Ibd to state RIA
AMERIPRISE FINANCIAL SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Nov 4, 2016	Nov 4, 2016	0	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 24, 2011	Oct 21, 2011	-3	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ ROMAN WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Mar 23, 2023 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Nov 4, 2016 to May 31, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 21, 2011 to Nov 4, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 21, 2004 to Oct 24, 2011factForm ADV

Dated events

Occurred
May 31, 2023
Advisor changed firm
Angelo Edward Roman left Kestra Advisory Services, Llc for Roman Wealth Management, Llc (registered 2023-03-23)
Form ADVobserved 6 days ago