Unclaimed Profile

Roberto Roman

MGO PRIVATE WEALTH, LLC·IRVINE, California

Series 7, Series 6620 years registeredMGO PRIVATE WEALTH, LLC

111 PACIFICA, IRVINE, CA 92618CRD# 4609381Firm CRD# 283909

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Roberto Roman · IRVINE, CA

Registration

CRD #4609381 · MGO PRIVATE WEALTH, LLC · 20 years registered

Brand Profile

Not yet started

Career History

GENTRUST

Dec 2025 – present

LEGACY PCG, LLC

Jul 2016 – present

LEGACY PRIVATE CLIENT GROUP, INC.

Nov 2011 – Dec 2016

NEWPORT BEACH, CA

MORGAN STANLEY SMITH BARNEY LLC

Sep 2009 – Nov 2011

IRVINE, CA

UBS FINANCIAL SERVICES INC.

Sep 2007 – Sep 2009

NEWPORT BEACH, CA

WACHOVIA SECURITIES FINANCIAL NETWORK, LLC

Feb 2007 – Aug 2007

IRVINE, CA

UBS FINANCIAL SERVICES INC.

Nov 2005 – Feb 2007

NEWPORT BEACH, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · November 15, 2005

Years registered · 20

Disclosure History

2009Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

MGO PRIVATE WEALTH, LLC

CRD 283909 · SEC 801-108057

AUM

$288M

Regulatory assets under management

Employees

341 client accounts

Services offered by MGO PRIVATE WEALTH, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at MGO PRIVATE WEALTH, LLC →

Introduction

Speak with Roberto

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Roberto is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in IRVINE?

Browse all registered financial advisors in IRVINE, California or claim this profile if it's yours.

Browse IRVINE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Roberto Roman offer?

Roberto Roman specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in IRVINE, California for a consultation.

What are Roberto Roman's credentials?

Roberto Roman is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roberto Roman located?

Roberto Roman is based in IRVINE, California, working with MGO PRIVATE WEALTH, LLC. Their office serves clients in the IRVINE metropolitan area and surrounding communities.

How does Roberto Roman charge for services?

Roberto Roman's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MGO PRIVATE WEALTH, LLC?

MGO PRIVATE WEALTH, LLC has approximately 4 employees and manages $288M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →