Randall Earl Roenfranz

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2019-11-05
CT	RA	APPROVED	2007-05-15

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2019-11-05
CT RA
APPROVED

Since 2007-05-15

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691	Pennington	NJ	02/2007	Present

02/2007 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691

Pennington, NJ

Previous Registrations

2006-08-07 → 2007-02-05

Banc Of America Investment Services, Inc.

Princeton, NJ

Princeton, NJ

Princeton, NJ

Other Businesses

I*3620265, Entity Type, Name of OBA: J R Roth IRA Address: omersetNew Jersey08873 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 02/01/2026 No Hours: 5 yearly No Hours during trading: 1 yearly Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-08-04

S66 Uniform Combined State Law Examination

2006-08-04

Other Names

Randall Roenfranz

View on SEC IAPD