Theodore Roman
Theodore Roman is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Greenwich, CT, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
2 Pickwick Plz, Greenwich, CT, 06830
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Regulatory History (1)
Customer 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.