Theodore Roman
Theodore Roman is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Greenwich, CT, with 42 years of industry experience. Theodore is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:
- Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
- Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.
Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.
Location
2 Pickwick Plz, Greenwich, CT, 06830
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Regulatory History (2)
Customer Dispute
July 2026Customer Dispute
June 2025Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Wright Private Asset Management LLC
Wright Investors Service INC
Wright Investors' Service Distributors, INC.Broker
J.P. Morgan Clearing CORP.Broker
Institutional Direct INC.Broker
J.P. Morgan Securities INC.Broker
Lehman Brothers INC.Broker
Cs First Boston CorporationBroker
Nomura Securities International, INC.Broker
Goldman, Sachs & CO.Broker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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