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Chief Executive Officer, Chief Compliance Officer · Legacy PCG, LLC

Roberto Roman

CRD 4609381 · Named on Form ADV at one SEC-registered adviser

At a glance

Legacy PCG, LLC, an SEC-registered wealth manager based in Newport, CA with $140 million in regulatory assets, lists Roberto Roman on its Form ADV as Chief Executive Officer, Chief Compliance Officer, a control person.

Firms and roles

  • Legacy PCG, LLCChief Executive Officer, Chief Compliance OfficerWealth manager · Newport, CA · $140M in regulatory assets

AtlasMembers

Roberto’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Roberto’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.