Michael Victor Roman

CRD 1278049 · Wells Fargo Advisors · St. Louis, MO

Broker

Also appears in the source record as: Michael V Roman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (3): SIESeries 7Series 63
Registered states (3): Florida · Georgia · New York
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (8)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Long Island City, NY · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Boynton Beach, FL · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
St. Louis, MO · IA capacity

start not retrieved → present
Everen Clearing Corp.
Milwaukee, WI · BC capacity

Oct 18, 1990 → May 1, 1997
Invest Financial Corporation
Appleton, WI · BC capacity

May 19, 1987 → May 23, 1990
Oppenheimer Investor Services, Inc.
BC capacity

Apr 17, 1985 → Apr 25, 1986
Bear, Stearns & Co.
BC capacity

Jun 20, 1984 → Feb 8, 1985

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1278049 ↗ FINRA BrokerCheck record for CRD 1278049 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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