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Anthony Michael Roman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Harleysville, PA

Pennington, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-11-13
TX RA APPROVED 2018-09-25
PA RA APPROVED 2018-08-06
  • NJ RA
    APPROVED
    Since 2019-11-13
  • TX RA
    APPROVED
    Since 2018-09-25
  • PA RA
    APPROVED
    Since 2018-08-06

Branch Locations

Harleysville, PA • United States

1100-1800 American Blvd Ci Client Services, Pennington, NJ 08534 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Doylestown PA 03/2015 Present
Bank Of America, N.A. Doylestown PA 03/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-03
S63 Uniform Securities Agent State Law Examination 1991-04-17
  • S66 Uniform Combined State Law Examination
    2018-08-03
  • S63 Uniform Securities Agent State Law Examination
    1991-04-17
Other Names
  • Tony Roman
  • Anthony M Roman
  • Anthony Michael Roman
  • Anthony Roman

View on SEC IAPD

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