D. major Roman
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
12 yearsExperience
3 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Bank of America, N.A.Aug 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 2024 to now
- Mxi Environmental ServicesApr 2024 to May 2024
- 42 Macro, LLCMar 2024 to May 2024
- UnemployedJan 2023 to Feb 2024
- Mxi Environmental ServicesJul 2022 to Dec 2022
- Wagner College: Nicolais School of BusinessJan 2022 to Jun 2022
- Conning Asset ManagementMay 2021 to Aug 2021
- Yale UniversityAug 2017 to Dec 2021
- New London High SchoolJun 2014 to Jun 2017
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 3 states (DC, MD, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7946590
- Firm CRD
- 7691