SR
SR
Stephen Roman
8 Years of Experience
San Antonio, TX
2 DisclosuresBrokerSells Insurance
Stephen Roman is a registered investment advisor at Raymond James & Associates, INC., based in San Antonio, TX, with 8 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
401 E. Sonterra Blvd., #100, San Antonio, TX, 78258
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
November 2025Financial
January 2021Final
Other Business ActivitiesSells Insurance
Stephen sells life, health, and property & casualty insurance. This activity requires minimal time.
Employment History
Current Registrations
Raymond James & Associates, INC.
November 2025 - Present · 6 mos
Raymond James & Associates, INC.Broker
November 2025 - Present · 6 mos
Previous Registrations
MML Investors Services, LLC
January 2018 - November 2025 · 7 yrs 10 mos
MML Investors Services, LLCBroker
July 2017 - November 2025 · 8 yrs 4 mos
State Registrations3 states
FLNMTX
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.