Antonio Roza
Antonio Roza is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Capitola, CA, with 35 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
Capitola, CA
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2025Customer Dispute
April 2008Customer Dispute
July 2000Other Business Activities
Antonio is the owner and landlord of a partnership located on 4th Street in Sacramento, CA since 1993, dedicating minimal time annually. He is also the owner and landlord of a trust located on 12th Ave in San Mateo, CA since 2003, also dedicating minimal time annually.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
State Registrations53 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.