Roy Borrego
Roy Borrego is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Punta Gorda, FL, with 26 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
1190 W Marion Ave, Punta Gorda, FL, 33950
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Regulatory History (2)
Customer Dispute
October 2008Customer Dispute
September 2001Other Business Activities
Roy is a general partner in Borrego Brothers LLC (since 2008) and a limited partner in Borrego Familly LLC (since 2011), both family-owned LLCs holding rental properties and vacant land. He also serves as an officer in his wife's horse training business and as a committee member for a local veterans' charity, dedicating minimal time to each.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations50 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.