FinSights logo mark
FinSights Financial Insights
Professional Disclosures

Professional background, registration details, and disclosure information.

This page is designed to present professional background, registration information, and role-related disclosures in an organized and transparent format.

Built On Transparency

This page is intended to present Robert Roman's professional background, registrations, and role distinctions in a manner consistent with the higher disclosure standards expected of a securities-licensed individual. It is provided for educational services only so readers can better understand general background, licensing context, and professional capacity. It is not a personalized recommendation, not an offer of advisory or brokerage services through this website alone, and not affiliated with any bank, financial institution, broker-dealer, investment advisory firm, insurance company, or carrier for purposes of endorsement or sponsorship.

Professional Overview

Robert Roman

U.S. Veteran and long-standing financial services professional focused on general financial education, financial literacy, credit awareness, savings habits, and broader long-term planning conversations.

Broker-Dealer / RIA: Transamerica Financial Advisors, LLC (CRD #16164)
Current capacities: Registered Representative and Investment Adviser Representative
TFA association: Since January 6, 2012
Office location listed: 2560 E 10th Street, Tucson, AZ 85716
Role Separation

Insurance-related and securities-related activities should be understood separately.

Because Robert Roman is a securities-licensed individual, it is important that readers distinguish between general educational content, insurance-related activity, and any securities-related capacity. This page is intended to help make those distinctions clearer so professional roles are understood within the proper regulatory and disclosure framework.

  • General educational content on this website is not the same as brokerage, investment advisory, or insurance activity.
  • Securities-related capacity should be understood separately from insurance-related capacity and from general financial education.
  • Insurance-related activities and WFG-related references should be understood as distinct from securities registrations and brokerage-related functions.
  • This website should not be interpreted as personalized investment advice, a securities recommendation, or a solicitation based solely on educational content.
Registered States

States listed in the registration summary

  • Arizona, since 2000
  • California, since April 27, 2018
  • Missouri, since January 4, 2023
  • New York, since November 18, 2025
Exams Passed

Securities qualification record

  • Series 6, Investment Company Products / Variable Contracts Representative, August 1, 2000
  • Series 26, Investment Company Products / Variable Contracts Principal, November 30, 2004
  • Series 63, Uniform Securities Agent State Law, May 22, 2000
  • Series 65, Uniform Investment Adviser Law, November 14, 2008
  • SIE, Securities Industry Essentials, October 1, 2018
Employment and Firm History

Professional affiliation summary

Transamerica Financial Advisors, LLC Investment Adviser Representative and Broker, January 2012 to present
Investment Advisors International, Inc. Investment Adviser capacity, December 2008 to January 2012
World Group Securities, Inc. Broker capacity, April 2002 to January 2012
WMA Securities, Inc. Broker capacity, August 2000 to April 2002
Disclosure Status

Disclosure status summary

  • No customer disputes listed in the information provided for this page
  • No regulatory events listed in the information provided for this page
  • No criminal disclosures listed in the information provided for this page
  • No disciplinary history listed in the information provided for this page
Additional Background

Supplemental professional background

  • Long-term association with World Financial Group / WFGIA as Associate since approximately 2001
  • 25+ years of experience across wealth management, financial services, and insurance-related work
  • Public mentions as a speaker on financial literacy, including Tucson Bitcoin Podcast
  • Certified Financial Educator with Heartland Institute of Financial Education through mid-2025, based on the summary provided
Important Legal and Compliance Notes

Educational limitation

This website and related FinSights content are intended for general educational and informational purposes only. Nothing on this page should be interpreted as individualized investment, tax, legal, insurance, or financial advice.

No recommendation or guarantee

No statement on this page should be interpreted as a recommendation to buy, sell, hold, open, or use any specific investment, account, product, policy, credit card, or strategy. Illustrations and projections are hypothetical and not guarantees of results.

Verification and Connection

How to stay connected

For general educational follow-up, guide support, and practical FinSights updates, readers can stay with the education path, use the appointment request path for a personal follow-up, or choose the separate team path only if they want to explore the business conversation.

How to verify and follow

Use the FinSights professional disclosures page for registration context and role separation, and use official FinSights channels such as YouTube, Instagram, TikTok, and Facebook for public educational updates. Educational questions and guide support can be directed to officialrobertroman@gmail.com.