Herbert Jay Roman
Investment adviser representative at Cetera Investment Advisers LLC
12 yearsExperience
2 statesRegistered in
$256.8BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Cetera Investment Advisers LLCSep 2025 to now
- Cetera Wealth Services, LLCSep 2025 to now
- Challenger Bay Corp.Feb 2022 to now
- The Challengers Tour Corp.May 2021 to now
- Avantax Advisory ServicesJan 2024 to Sep 2025
- Avantax Insurance Agency, LLCJan 2024 to Sep 2025
- Avantax Investment Services Inc.Jan 2024 to Sep 2025
- Pruco Securities, LLCNov 2021 to Jan 2024
- Prudential Insurance Company of AmericaNov 2021 to Jan 2024
- Equity Services, Inc.Mar 2016 to Oct 2021
- Integrated Financial Concepts LLCOct 2014 to Oct 2021
Exams passed
- Series 63 · Uniform Securities Agent State Law2016
State registrations
Registered as an investment adviser representative in 2 states (NY, TX).
Cetera Investment Advisers LLC
$256.8BAssets managed
813,961Clients
10,109Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6592460
- Firm CRD
- 105644