Michael Roy

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

• 06/2016 → 09/2024
  Rbc Capital Markets, Llc.
  Clive, IA
• 09/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Denver, CO

Previous Registrations

• 2019-09-30 → 2024-10-10
  Rbc Capital Markets, Llc
  Minneapolis, MN
  Clive, IA
  Des Moines, IA

Other Businesses

I*4772284, Entity Type: Entity Charitable, Name of OBA: NCAA - DIII, Address: Indianapolis, Indiana, 46206, Investment Related: N, Position, Title, Association: ["Other"], Employee Start Date: 09/05/2026, No Hours: 10 Weekly, No Hours during Trading: 0 Weekly, Duties: College Football Official - Individual, College Football Officiating

Exams

• S66 Uniform Combined State Law Examination
  2019-09-30

Other Names

• Michael Thomas Roy