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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ROMAN FEAGINS REED

Advisor at ARAX ADVISORY PARTNERS

NEW YORK, NY | Houston, TX

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Search this name across graphsid dfx:ria:9a16476f-a4c4-220a-e01a-73341a5b311c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Nov 2, 1999 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: ARAX ADVISORY PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 14, 1997
First registration: Nov 2, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 2936933

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
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Jul 20, 2026	n/a	yes	NEW YORK, NY\|Houston, TX	Current employment
U.S. CAPITAL WEALTH ADVISORS, LLC	Bd affiliated wealth	Dec 3, 2025	Jul 21, 2026	no	HOUSTON, TX	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Dec 7, 2018	Dec 5, 2025	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 28, 2016	Dec 10, 2018	no	HOUSTON, TX	Previous registration
INSIGNEO ADVISORY SERVICES, LLC	Mixed wealth	Apr 26, 2016	Nov 29, 2016	no	HOUSTON, TX\|MIAMI, FL	Previous registration
INSIGNEO WEALTH ADVISORS, LLC	Former SEC adviser	Apr 13, 2015	Nov 18, 2016	no	HOUSTON, TX\|MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 30, 2009	Mar 26, 2015	no	HOUSTON, TX	Previous registration
UBS INTERNATIONAL INC.	n/a	Jun 3, 2002	May 21, 2009	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 2, 1999	Jun 1, 2002	no	HOUSTON, TX	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
U.S. CAPITAL WEALTH ADVISORS, LLC	ARAX ADVISORY PARTNERS	Jul 21, 2026	Jul 20, 2026	-1	Bulk transfer	Ibd to ibd
OPPENHEIMER & CO. INC.	U.S. CAPITAL WEALTH ADVISORS, LLC	Dec 5, 2025	Dec 3, 2025	-2	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	OPPENHEIMER & CO. INC.	Dec 10, 2018	Dec 7, 2018	-3	Firm change	Wirehouse to ibd
INSIGNEO ADVISORY SERVICES, LLC	WELLS FARGO ADVISORS	Nov 29, 2016	Nov 28, 2016	-1	Firm change	Other
INSIGNEO WEALTH ADVISORS, LLC	INSIGNEO ADVISORY SERVICES, LLC	Nov 18, 2016	Apr 26, 2016	-206	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	INSIGNEO WEALTH ADVISORS, LLC	Mar 26, 2015	Apr 13, 2015	18	Firm change	Other
UBS INTERNATIONAL INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 21, 2009	Apr 30, 2009	-21	Firm change	Other
UBS FINANCIAL SERVICES INC.	UBS INTERNATIONAL INC.	Jun 1, 2002	Jun 3, 2002	2	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
282589:19616:FL:2016-11-29	Nov 29, 2016	Nov 28, 2016	MIAMI, FL	Firm change
112706:282589:FL:2016-11-18	Nov 18, 2016	Apr 26, 2016	MIAMI, FL	Firm change after gap
7691:112706:TX:2015-03-25	Mar 26, 2015	Apr 13, 2015	HOUSTON, TX	Firm change

Relationships

Registered with (9)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Jul 20, 2026 to presentfactForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 3, 2025 to Jul 21, 2026factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Dec 7, 2018 to Dec 5, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 28, 2016 to Dec 10, 2018factForm ADV
→ INSIGNEO ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 26, 2016 to Nov 29, 2016factForm ADV
→ INSIGNEO WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 13, 2015 to Nov 18, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 30, 2009 to Mar 26, 2015factForm ADV
→ UBS INTERNATIONAL INC.Registered adviserregistration: previous registration
Jun 3, 2002 to May 21, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 2, 1999 to Jun 1, 2002factForm ADV

Dated events

Occurred
Dec 5, 2025
Advisor changed firm
Roman Feagins Reed left Oppenheimer & Co. Inc. for U.S. Capital Wealth Advisors, Llc (registered 2025-12-03)
Form ADVobserved 4 days ago