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RIA / WealthAdvisor20 years in industry

ROBERTO ROMAN

Advisor at GENTRUST

NEWPORT, CA | Tustin, CA | MIAMI, FL

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Search this name across graphsid dfx:ria:a335dc26-35a9-63be-03cf-17ff90a796ef

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2005 to Sep 15, 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: GENTRUST
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 14, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 2
Exams: S66
First exam: Nov 14, 2005
First registration: Nov 15, 2005
Dual registered: no
Other names: ROBERT ROMAN
IAPD individual key: 4609381

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
Gentrust	Independent wealth	Dec 5, 2025	n/a	yes	Tustin, CA\|MIAMI, FL	Current employment
LEGACY PCG, LLC	Independent wealth	Jul 25, 2016	n/a	yes	NEWPORT, CA	Current employment
LEGACY PRIVATE CLIENT GROUP, INC.	Former SEC adviser	Nov 23, 2011	Dec 31, 2016	no	KAMAS, UT	Previous registration
MORGAN STANLEY	Wirehouse	Sep 9, 2009	Nov 28, 2011	no	IRVINE, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 4, 2007	Sep 14, 2009	no	NEWPORT BEACH, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 9, 2007	Aug 21, 2007	no	ALISO VIEJO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 15, 2005	Feb 16, 2007	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA	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
LEGACY PRIVATE CLIENT GROUP, INC.	LEGACY PCG, LLC	Dec 31, 2016	Jul 25, 2016	-159	Firm change after gap	Other
MORGAN STANLEY	LEGACY PRIVATE CLIENT GROUP, INC.	Nov 28, 2011	Nov 23, 2011	-5	Firm change	Wirehouse to new firm
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Sep 14, 2009	Sep 9, 2009	-5	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Aug 21, 2007	Sep 4, 2007	14	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Feb 16, 2007	Feb 9, 2007	-7	Firm change	Wirehouse to wirehouse

Team moves

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

Team	Left	Joined	From	Kind
159063:283909:UT:2016-12-31	Dec 31, 2016	Jul 25, 2016	KAMAS, UT	Firm change after gap

Relationships

Registered with (6)

→ GENTRUSTRegistered adviserregistration: current employment
Dec 5, 2025 to presentfactForm ADV
→ LEGACY PCG, LLCRegistered adviserregistration: current employment
Jul 25, 2016 to presentfactForm ADV
→ LEGACY PRIVATE CLIENT GROUP, INC.Registered adviserregistration: previous registration
Nov 23, 2011 to Dec 31, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 9, 2009 to Nov 28, 2011factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 4, 2007 to Sep 14, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 9, 2007 to Aug 21, 2007factForm ADV

Dated events

No dated event names this entity yet.