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Roxann Romano

37 Years of Experience
New York, NY
Broker

Roxann Romano is a registered investment advisor at Morgan Stanley, based in New York, NY, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B

Fee Structure

Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location

399 Park Avenue, 12th Floor, New York, NY, 10022

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Roxann is a board member for Angels on the Bay, fundraising for kids, dedicating minimal time after business hours. She is also a partner at Romano Investments and Hudson Street LLC, spending minimal time after business hours on administrative tasks, accounting, and investment decisions.

Employment History
Current Registrations
Morgan Stanley
October 2021 - Present · 4 yrs 7 mos
Morgan Stanley
March 2013 - Present · 13 yrs 2 mos
Morgan StanleyBroker
March 2013 - Present · 13 yrs 2 mos
Previous Registrations
Morgan Stanley
February 2014 - December 2015 · 1 yr 10 mos
UBS Financial Services INC.
July 2005 - March 2013 · 7 yrs 8 mos
UBS Financial Services INC.Broker
March 2005 - March 2013 · 8 yrs
Morgan Stanley Dw INC.Broker
February 1990 - March 2005 · 15 yrs 1 mo
Castleton-Rhodes INC.Broker
January 1990 - February 1990 · 1 mo
J F Lowe & Company IncorporatedBroker
March 1989 - January 1990 · 10 mos
F.D. Roberts Securities, INC.Broker
December 1988 - October 1989 · 10 mos
State Registrations27 states
AKAZCACOCTDCFLGAINLAMAMDMEMINCNDNJNMNVNYPARISCTNTXVAWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
Roxann Romano - Financial Advisor | TrueAdvisor