James Roman is a registered investment advisor at Morgan Stanley, based in Wichita, KS, with 15 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
1617 North Waterfront Parkway, Suite 200, Wichita, KS, 67206
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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.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
August 2016 - Present · 9 yrs 9 mos
Morgan StanleyBroker
July 2016 - Present · 9 yrs 10 mos
Previous Registrations
Banc of America Investment Services, INC.
December 2002 - May 2007 · 4 yrs 5 mos
Banc of America Investment Services, INC.Broker
June 2001 - May 2007 · 5 yrs 11 mos
State Registrations37 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.