Roman Moriarty
Investment adviser representative at LPL Financial LLC
12 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$819.1BFirm assets
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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
- Seminars and workshops
Experience
12 years in the industry.
- LPL Financial, LLCJun 2025 to now
- Firefighters First Credit UnionJun 2025 to now
- Ameriprise Financial Services, LLCApr 2023 to May 2025
- UBS Financial Services Inc.Aug 2022 to Mar 2023
- Sunlight FinancialNov 2020 to Jul 2022
- Insight GlobalFeb 2020 to Oct 2020
- The Vanguard Group, Inc.Jul 2019 to Jan 2020
- Hungry Howie'sJun 2019 to Jun 2019
- Live NationMay 2019 to Jun 2019
- LovesushiMar 2019 to May 2019
- SushikingAug 2018 to Feb 2019
- Nissan of RichmondAug 2018 to Aug 2018
- Commonwealth TimingSep 2017 to Feb 2018
- Cinesports, LLCAug 2017 to Aug 2018
- Eagle Engineering CorporationJun 2017 to May 2018
- Virginia Department of TransportationJun 2016 to Apr 2017
- ModelogicDec 2015 to Jan 2020
- Virginia Commonwealth UniversityAug 2015 to May 2018
- Virginia TechJul 2014 to May 2017
Designations
- CFP® certification
Exams passed
- Series 63 · Uniform Securities Agent State Law2019
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (CA, NC).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 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
- 6962879
- Firm CRD
- 6413