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Michael Albert Roman

Morgan Stanley

Westport, CT

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-23
CT RA APPROVED 2021-07-02
  • TX RA
    APPROVED
    Since 2021-08-23
  • CT RA
    APPROVED
    Since 2021-07-02

Branch Locations

500 Post Road East 3Rd Floor, Westport, CT 06880 • 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
OrganizationCityStateFromTo
Morgan Stanley East Westport CT 01/2021 Present
The 'POrt Restaurant Westport CT 05/2016 06/2018
Morgan Stanley East Westport CT 07/2019 08/2019
University Of Rhode Island Kingston RI 09/2016 05/2020
N/A Stratford CT 01/2011 01/2021
  • 01/2021 → Present
    Morgan Stanley
    East Westport, CT
  • 05/2016 → 06/2018
    The 'POrt Restaurant
    Westport, CT
  • 07/2019 → 08/2019
    Morgan Stanley
    East Westport, CT
  • 09/2016 → 05/2020
    University Of Rhode Island
    Kingston, RI
  • 01/2011 → 01/2021
    N/A
    Stratford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-07-02
  • S66 Uniform Combined State Law Examination
    2021-07-02
Other Names
  • Mickey Roman
  • Michael Albert Roman

View on SEC IAPD

Other Firms

QUORUS INC.
DIVYDE CAPITAL PARTNERS L.P.
EQUITABLE ADVISORS, LLC
LPL FINANCIAL LLC
SENECA WEALTH ADVISORS, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

JOHN WILLIAM HILL
KYLE JOSEPH BIRMINGHAM
Prashant A Joshi
ALEXANDRA EMMA LYON
STEPHANIE MARIE FRANCHINI
Karl Christian Mergenthaler
MARK C BURTON
MATTHEW STEPHEN LANDRY

Other Offices

QUORUS INC. · WESTPORT, CT
DIVYDE CAPITAL PARTNERS L.P. · WESTPORT, CT
EQUITABLE ADVISORS, LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
PARK AVENUE SECURITIES LLC · WESTPORT, CT
WELLS FARGO CLEARING SERVICES, LLC · WESTPORT, CT

More in Westport, CT

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