Roger Wallach
Roger Wallach is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Vienna, VA, with 31 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
8075 Leesburg Pike, Vienna, VA, 22182
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Regulatory History (2)
Regulatory
June 2024Customer Dispute
November 2022Other Business Activities
Roger is a partner in Maroon Cavalier LLC, which purchases, refurbishes, and resells properties. This activity takes minimal time and is not investment-related.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Truist Advisory Services, INC.
Truist Investment Services, INC.Broker
Suntrust Investment Services, INC.
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Credit Suisse First Boston CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
TD Securities (USA) INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations25 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.