Roberto W Roffo

CRD 4812356 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Princeton, NJ

IA RegisteredBroker

Also appears in the source record as: Roberto Walter Roffo

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (14): Connecticut · Delaware · District Of Columbia · Florida · Maryland · Massachusetts · New Hampshire · New Jersey · New York · North Carolina · Pennsylvania · Rhode Island · Texas · Virginia
Years in the industry (source record): 10
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Princeton, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Princeton, NJ · BC capacity

start not retrieved → present
Swbc Investment Services, LLC
San Antonio, TX · BC capacity

Feb 17, 2021 → Mar 4, 2024
Swbc Investment Company
Dayton, NJ · IA capacity

Dec 14, 2020 → Mar 4, 2024
Fnex Capital, LLC
Indianapolis, IN · BC capacity

Dec 3, 2018 → Jul 23, 2019
Braintree Capital Partners, LLC
Fairfield, CT · IA capacity

Feb 13, 2017 → Jul 3, 2018
Herbert J. Sims Capital Management, Inc.
Fairfield, CT · IA capacity

Jul 5, 2016 → Jul 3, 2018
Herbert J. Sims & Co. Inc.
Fairfield, CT · BC capacity

Jun 29, 2016 → Jul 3, 2018
Advisors Asset Management, Inc.
Princeton, NJ · IA capacity

Dec 4, 2013 → Jul 30, 2014
Advisors Asset Management, Inc.
Princeton, NJ · BC capacity

Jul 15, 2013 → Jul 30, 2014
Claymore Securities, Inc.
Lisle, IL · BC capacity

Jan 1, 2005 → Jul 21, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4812356 ↗ FINRA BrokerCheck record for CRD 4812356 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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