Roberto Roman has been Chief Executive Officer, Chief Compliance Officer of Legacy PCG since May 2016, is a control person of the firm and directly owns under 5% of it.
Legacy PCG, LLC is a Newport, CA firm with $140M under management, 71 clients and 2 advisers across 2 offices, as of its March 2026 filing.
Roberto Roman’s longest registration is the current one, 10 years at Legacy PCG since 2016. Before joining Legacy PCG in 2016, Roberto Roman was registered through Legacy Private Client Group, Inc. and Morgan Stanley Smith Barney LLC.
- GentrustAlso current– present · under a yearTustin, CA · Adviser representative · Firm CRD 158369
- Legacy Private Client Group, Inc.– · 5 yearsNewport Beach, CA · Adviser representative · Firm CRD 159063
- Morgan Stanley Smith Barney LLC– · 2 yearsIrvine, CA · Adviser representative · Firm CRD 149777
- UBS Financial Services Inc.– · 2 yearsNewport Beach, CA · Adviser representative · Firm CRD 8174
- Wachovia Securities Financial Network, LLC– · under a yearIrvine, CA · Adviser representative · Firm CRD 11025
- UBS Financial Services Inc.– · 1 yearNewport Beach, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Roberto Roman is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2016; the most recent is Texas, in August 2023.
- CaliforniaSince 25 July 2016
- TexasResidentSince 21 August 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 14 November 2005 |
| Series 7 | General Securities Representative Examination | 22 September 2005 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4609381
- Firm
- Legacy PCG · CRD 283909
- Role
- Chief Executive Officer, Chief Compliance Officer
- Office
- 888 SAN CLEMENTE DRIVE, SUITE 400, Newport, CA 92660
- Registration
- Investment adviser registration
- In the industry since
- November 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does Roberto Roman work?
Roberto Roman has been Chief Executive Officer, Chief Compliance Officer of Legacy PCG, LLC since May 2016, and is a control person of the firm.
Is Roberto Roman a financial advisor?
Yes. Roberto Roman has a current investment-adviser registration in California and Texas, through Legacy PCG since July 2016.
How many years of experience does Roberto Roman have?
Roberto Roman has 20 years in the financial industry, since November 2005, across 6 adviser firms.
What exams has Roberto Roman passed?
Roberto Roman has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2005.
Where did Roberto Roman work before Legacy PCG?
Before Legacy PCG, Roberto Roman was registered through Morgan Stanley Smith Barney LLC, September 2009 to November 2011; UBS Financial Services Inc., September 2007 to September 2009; Wachovia Securities Financial Network, LLC, February 2007 to August 2007; UBS Financial Services Inc., November 2005 to February 2007.
Where is Roberto Roman based?
Roberto Roman’s registered office is in Newport, CA.
Is Roberto Roman registered with FINRA?
No. Roberto Roman has no current broker registration.
How can I verify Roberto Roman’s record?
Search CRD 4609381 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roberto Roman’s full registration record.