AdFi
RR

Roberto Roman

Investment Adviser Representative at LEGACY PCG, LLC

Tustin, CACRD #4609381Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
21 yrs
States Registered
1 states
Exams Passed
2

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Roberto Roman has worked in the securities industry since 2005. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/14/2005
Series 7
General Securities Representative Examination
Passed 9/22/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Legacy PCG, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

GENTRUSTCurrent
12/5/2025 – Tustin, CA
LEGACY PCG, LLCCurrent
7/25/2016 – Newport, CA
LEGACY PRIVATE CLIENT GROUP, INC.
11/23/2011 – 12/31/2016Newport Beach, CA
MORGAN STANLEY SMITH BARNEY LLC
9/9/2009 – 11/28/2011Irvine, CA
UBS FINANCIAL SERVICES INC.
9/4/2007 – 9/14/2009Newport Beach, CA
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC
2/9/2007 – 8/21/2007Irvine, CA
UBS FINANCIAL SERVICES INC.
11/15/2005 – 2/16/2007Newport Beach, CA

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at LEGACY PCG, LLC

1 other advisor in the directory

Casey Kelly Blout
Investment Adviser Representative
Investment Adviser Rep
View LEGACY PCG, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roberto Roman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.