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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 an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., located in San Francisco, California. Antonio has been in the financial services industry for over 30 years and has a strong track record of success. Antonio has experience working with a variety of clients, including individuals, families, businesses, and institutions. Antonio is dedicated to providing his clients with personalized financial advice and investment strategies to help them reach their financial goals. Antonio is a registered representative with FINRA and holds the Series 3, 7, and 63 licenses, as well as the Series 65 license. Antonio is also a registered investment advisor in Texas. Antonio is a respected member of the financial services industry and is committed to providing his clients with the highest level of service.
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 3/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/15/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/20/1991
Series 3 - National Commodity Futures Examination
BC
Issued 9/28/1990
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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