Roger M Wallach

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

• 01/2019 → 10/2022
  Truist Advisory Services
  Atlanta, GA
• 05/2014 → 01/2019
  Suntrust Advisory Services
  Atlanta, GA
• 10/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporate
  Vienna, VA
• 11/2022 → Present
  Bank Of America N.A.
  Vienna, VA

Previous Registrations

• 2016-09-21 → 2022-10-21
  Truist Advisory Services, Inc.
  Mclean, VA
  Mclean, VA
• 2014-05-30 → 2016-12-31
  Truist Investment Services, Inc.
  Mclean, VA
  New York, NY
  Mclean, VA
• 2009-06-01 → 2014-06-02
  Morgan Stanley
  Mclean, VA
• 2006-02-21 → 2009-06-01
  Citigroup Global Markets Inc.
  Mclean, VA
• 2004-08-03 → 2006-02-23
  Wells Fargo Clearing Services, Llc
  Washington, DC
• 2001-08-10 → 2004-07-23
  Ubs Financial Services Inc.
  Washington, DC

Other Businesses

MAROON CAVALIER LLCPOSITION: Partner NATURE: Purchase a single property, refurbish and resell it. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2021ADDRESS: , McLean VA , United StatesDESCRIPTION: Buy a property, refurbish and sell the house.Expected time frame is 6 months I*5384268, Entity Type: , Name of OBA: C and J W Insurance Trust, Address: Charlotte, North Carolina, 28255, Investment Related: N, Position, Title, Association: Trustee, Employee Start Date: 10/01/2026, No Hours: 2 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-12-02
• S63 Uniform Securities Agent State Law Examination
  1996-06-25

Other Names

• Roger M Wallach
• Roger Mason Wallach
• Roger Wallach