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    Rick Roman

    CFP®, ChFC®, LUTCF®


    Check the background of this investment professional on FINRA's BrokerCheck

    About Rick

    Preparing for that next step in life isn’t always easy. My combination of experience, professionalism and access to a wide variety of products and services can help you meet your financial goals, estate strategies and insurance needs. Whether your goals include preparing for milestone life events like retirement or college, or whether you’re simply looking for life, disability income or long-term care insurance protection, I promise you a new level of attention, insight and capability. Contact me to discuss your financial future.

    I am married to my Wife, Jennifer (Jen) and we have one son Jonathan (Johnny) and live in my hometown of Novato, CA. My hobbies include running, biking, skiing, golf and diving. When not at home we love to head up to Lake Tahoe, CA.

    • Qualifying Member of the Million Dollar Round Table (MDRT) (2004 to present)
    • Qualifying Member of the MassMutual’s Blue Chip Council (2005 to present)
    • Qualifying Member of MassMutual’s Leader’s Club (2002to present)
    • Past President (2006-08) of the National Association of Insurance and Financial Advisors – Marin Chapter
    • 2009-Present National Committee Chair of the National Association of Insurance and Financial Advisors – Marin Chapter

    Area(s) of Focus

    • Insurance Strategies
    • Investment Strategies

    Offices operating under an alternative marketing name may offer products, services, or guidance outside of their relationship with MassMutual, MML Investors Services, MSI Financial Services, Inc., or their affiliated companies. Any such offices are not subsidiaries or affiliates of MassMutual or its affiliated companies.

    Rick Roman CFP®, ChFC®, LUTCF® is a registered representative of and offers securities, investment advisory, and financial planning services through MML Investors Services, LLC, Member SIPC, 3003 Oak Road, Ste 250, Walnut Creek, CA 94597-4541, Tel: (925) 979-2300

    MassMutual Financial Group is a marketing name for Massachusetts Mutual Life Insurance Company (MassMutual) and its affiliated companies and sales representatives. Local sales agencies are not subsidiaries of MassMutual or its affiliated companies. Agency officers are not officers of MassMutual.


    I am licensed to sell Insurance Products in the following jurisdictions:
    California, Colorado, Florida, Illinois, Nebraska, Nevada, New York, Ohio, Oregon, Pennsylvania, Utah

    I am licensed to sell Securities Products in the following jurisdictions:
    California, Colorado, Pennsylvania

    Rick Roman CFP®, ChFC®, LUTCF®, Walnut Creek, CA, CA Insurance Lic.# 0C03497

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