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THEODORE SAMUEL ROMAN
TED ROMAN
CRD#: 1213050
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2 PICKWICK PLZ
GREENWICH, CT 06830
Registration History
1985199019952000200520102015202020252 FIRMS2012 - 2016 (3 years)2 FIRMS2016 - Present (8 years)BWRIGHT INVESTORS' SERVICE DIST... (CRD# 13645)2009 - 2016 (6 years)BJ.P. MORGAN SECURITIES INC. (CRD# 79)1997 - 2009 (11 years)BJ.P. MORGAN CLEARING CORP. (CRD# 28432)2007 - 2008 (1 year)BINSTITUTIONAL DIRECT INC. (CRD# 23019)2003 - 2004 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1994 - 1997 (3 years)BCS FIRST BOSTON CORPORATION (CRD# 816)1992 - 1994 (1 year)BNOMURA SECURITIES INTERNATIONA... (CRD# 4297)1991 - 1992 (1 year)BGOLDMAN, SACHS & CO. (CRD# 361)1983 - 1991 (7 years)
License(s)

State Registrations

B
California 9/6/2017

B
Massachusetts 2/28/2023

B
Colorado 12/16/2016

B
Nevada 11/2/2022

B
Connecticut 4/1/2016

B
New Jersey 12/27/2016

IA
Connecticut 4/1/2016

B
New York 4/1/2016

B
Florida 8/15/2017

B
Rhode Island 10/13/2017

B
Georgia 3/31/2017

IA
Texas 4/23/2019

B
Illinois 4/12/2017

B
Virginia 2/2/2023

B
Maryland 1/3/2023

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 4/1/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 4/1/2016

Previous Registration(s)
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05/10/2012 - 02/11/2016 WRIGHT PRIVATE ASSET MANAGEMENT LLC (CRD#:139570) GREENWICH, CT
IA
05/08/2012 - 02/11/2016 WRIGHT INVESTORS SERVICE INC (CRD#:106302) GREENWICH, CT
B
07/01/2009 - 02/09/2016 WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC. (CRD#:13645) GREENWICH, CT
B
09/22/1997 - 04/29/2009 J.P. MORGAN SECURITIES INC. (CRD#:79) NEW YORK, NY
B
08/08/2007 - 12/31/2008 J.P. MORGAN CLEARING CORP. (CRD#:28432) NEW YORK, NY
B
07/22/2003 - 10/22/2004 INSTITUTIONAL DIRECT INC. (CRD#:23019) NEW YORK, NY
B
08/01/1994 - 09/04/1997 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
12/05/1992 - 07/06/1994 CS FIRST BOSTON CORPORATION (CRD#:816) NEW YORK, NY
B
04/18/1991 - 09/23/1992 NOMURA SECURITIES INTERNATIONAL, INC. (CRD#:4297) NEW YORK, NY
B
11/22/1983 - 03/22/1991 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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