Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Antonio? Claim Your ProfileAntonio Da roza is a financial advisor with over 30 years of experience in the industry. Antonio is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked with Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Antonio holds several licenses and designations, including Series 3, 7, 63 and 65. Antonio works with a wide range of clients, including individuals, businesses, and institutions. Antonio provides a variety of financial services, including investment management, financial planning, and retirement planning.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/03/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
06/01/2009 - 10/03/2011
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
NY
10/01/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/28/1990
Series 7 - General Securities Representative Examination
Active
Inactive
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
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