Roger Robert Mussa

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2010 → 09/2016
  Ubs Financial Services Inc
  Northfield, NJ
• 09/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Egg Harbor Township, NJ
• 10/2016 → Present
  Bank Of America, N.A.
  Egg Harbor Township, NJ

Previous Registrations

• 2010-02-26 → 2016-10-04
  Ubs Financial Services Inc.
  Northfield, NJ
• 2009-06-01 → 2010-03-02
  Morgan Stanley
  Northfield, NJ
• 2008-06-09 → 2009-06-01
  Morgan Stanley & Co. Llc
  Northfield, NJ
• 2003-07-01 → 2008-06-03
  Wells Fargo Clearing Services, Llc
  Paramus, NJ
  Paramus, NJ
  Marlton, NJ
• 2002-07-24 → 2003-07-01
  Prudential Equity Group, Llc
  Paramus, NJ

Other Businesses

I*99241 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ASSUMPTION REGIONAL CATHOLIC SCHOOL INVESTMENT RELATED: N ADDRESS OF BUSINESS: GALLOWAY, NEW JERSEY 8205 NATURE OF BUSINESS: OTHER,CATHOLIC SCHOOL POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 10/1/2015 NUMBER OF HOURS DEVOTED: 5 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ADVISORY BOARD AND FINANCE COMMITTEE CHAIR. HELP SHARE THE SCHOOL'S MISSION AND ADVISE ON BUDGET DIRECTED BY THE CHURCH AND DIOCESE. I*99240 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ATLANTIC CITY COMMUNITY COLLEGE FOUNDATION INVESTMENT RELATED: N ADDRESS OF BUSINESS: MAYS LANDING, NEW JERSEY 8330 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: ADVISORY BOARD MEMBER, START DATE OF RELATIONSHIP: 10/1/2014 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HELP FUND RAISE FOR SCHOLARSHIP FOR CURRENT STUDENTS. AS PART OF THE FOUNDATION I ASSIST WITH THE RESTAURANT GALA, FINANCE AND RECRUITING COMITTEES. I*121194 For profit or not for profit: Non-Profit Organization Name of outside business organization: Investments and Wealth Institute Investment related: N Address of business: Greenwood Village, Colorado 80111 Nature of business: Other,Education and Standards Body Position, title, association: Committee Member, Start date of relationship: 2/28/2019 Number of hours devoted: 12 hour(s) Annually Number of hours devoted during trading hours: 12 Duties: Commission Purpose: The purpose of the CPWA Certification Commission is to oversee the development and maintenance of the Certified Private Wealth Advisor Certification program, on behalf of the board of directors, and to provide advice and guidance

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-10-09
• S63 Uniform Securities Agent State Law Examination
  1999-08-31

Other Names

• Roger Robert Mussa
• Roger Mussa