Stephen Roman
Stephen Roman is a registered investment advisor at Raymond James & Associates, INC., based in San Antonio, TX, with 9 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.
Fee Estimator
Location
401 E. Sonterra Blvd., #100, San Antonio, TX, 78258
Get directionsHistory
Regulatory History (2)
Judgment / Lien
November 2025Financial
January 2021Other Business ActivitiesSells Insurance
Stephen sells life, health, and property & casualty insurance. This activity requires minimal time.
Employment History
Current Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
State Registrations3 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.
Exams
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