Stephanie Roman is a registered investment advisor, based in New York, NY, with 2 years of industry experience.
Location
399 Park Avenue, New York, NY, 10022
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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
First Manhattan Securities LLC
September 2025 - Present · 8 mos
First Manhattan CO. LLC
September 2025 - Present · 8 mos
First Manhattan Securities LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
MML Investors Services, LLC
April 2024 - August 2025 · 1 yr 4 mos
MML Investors Services, LLCBroker
February 2024 - August 2025 · 1 yr 6 mos
State Registrations2 states
NJNY
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.