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Anthony Michael Roman

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Anthony Michael Roman

Anthony Roman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Anthony has been a financial advisor for 19 years. Anthony has experience in various areas, including individual and business portfolio management, pension consulting, and educational seminars. Anthony is registered to provide investment advice in 53 states, including New Jersey, Pennsylvania, and Texas. Anthony is also registered to provide investment advice to clients in 3 states.

Firm Information

Anthony Roman is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Anthony Roman’s Registration & Firm History

NJ

09/25/2018 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)

AZ

06/18/2010 - 07/29/2011

ECHOTRADE LLC (PHOENIX AZ)

AZ

03/10/2009 - 03/26/2010

ECHOTRADE LLC (PHOENIX AZ)

PA

03/11/1997 - 10/22/2003

NAVILLUS SECURITIES, INC. (WEST CONSHOHOCKEN PA)

NA

02/05/1997 - 02/27/1997

NAVILLUS SECURITIES, INC.

PA

02/15/1996 - 02/03/1997

VANGUARD MARKETING CORPORATION (MALVERN PA)

TX

08/23/1995 - 02/09/1996

TRADESTAR INVESTMENTS,INC. (HOUSTON TX)

PA

03/13/1992 - 08/23/1995

PNC SECURITIES CORP (PITTSBURGH PA)

NY

04/09/1991 - 10/28/1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/03/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/17/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/18/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/02/2022

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/24/1997

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/03/2018

Series 7 - General Securities Representative Examination

BC

Issued 12/17/1999

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anthony Michael Roman.
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