MR
Michael P. Roma
COHEN & STEERS CAPITAL MANAGEMENT
New York, NY 10036
Some features on this profile are disabled
CRD#: 7160160
MR
Professional summary
Michael Paul Roma is a registered financial advisor currently at COHEN & STEERS CAPITAL MANAGEMENT INC. located in New York, New York and COHEN & STEERS SECURITIES, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Paul Roma's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 7, 2022 - Present
COHEN & STEERS CAPITAL MANAGEMENT INC.
Office #1: 1166 Avenue Of The Americas 30th Floor, New York, NY 10036RIA
CRD#: 106266
New York, NY
Current
January 7, 2022 - Present
COHEN & STEERS SECURITIES, LLC
Office #1: 1166 Avenue Of The Americas 30th Floor, New York, NY 10036BD
CRD#: 29258
New York, NY
Past
January 13, 2020 - December 16, 2021
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
Newark, NJ
Past
January 6, 2020 - December 16, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
August 22, 2019 - January 14, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
PARAMUS, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
COHEN & STEERS CAPITAL MANAGEMENT INC.
COHEN & STEERS | COHEN & STEERS CAPITAL MANAGEMENT, INC. | COHEN & STEERS CAPITAL MANAGEMENT INC.
CRD#: 106266 / SEC#: 801-27721
RIA
Registered Investment Advisory firm - (8/7/1986 Approved)New York
Registered Investment Advisory firm - (3/28/2003 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/11/2022)
RR
Alaska(2/18/2025)
RR
Arizona(2/18/2025)
RR
Arkansas(2/18/2025)
RR
California(2/18/2025)
RR
Colorado(2/18/2025)
RR
Connecticut(2/18/2025)
RR
Delaware(2/18/2025)
RR
District of Columbia(2/18/2025)
RR
Florida(2/18/2025)
RR
Georgia(2/18/2025)
RR
Hawaii(2/18/2025)
RR
Idaho(2/18/2025)
RR
Illinois(2/18/2025)
RR
Indiana(2/18/2025)
RR
Iowa(2/18/2025)
RR
Kansas(2/18/2025)
RR
Kentucky(2/18/2025)
RR
Louisiana(2/18/2025)
RR
Maine(10/7/2024)
RR
Maryland(2/18/2025)
RR
Massachusetts(10/7/2024)
RR
Michigan(2/18/2025)
RR
Minnesota(2/18/2025)
RR
Mississippi(1/11/2022)
RR
Missouri(2/18/2025)
RR
Montana(2/18/2025)
RR
Nebraska(2/18/2025)
RR
Nevada(2/18/2025)
RR
New Hampshire(10/7/2024)
RR
New Jersey(2/18/2025)
RR
New Mexico(2/18/2025)
IAR
New York(1/7/2022)
RR
New York(2/18/2025)
RR
North Carolina(2/18/2025)
RR
North Dakota(2/18/2025)
RR
Ohio(2/18/2025)
RR
Oklahoma(2/18/2025)
RR
Oregon(2/18/2025)
RR
Pennsylvania(2/18/2025)
RR
Puerto Rico(2/18/2025)
RR
Rhode Island(10/7/2024)
RR
South Carolina(2/18/2025)
RR
South Dakota(2/18/2025)
RR
Tennessee(10/7/2024)
RR
Texas(1/11/2022)
RR
Utah(2/18/2025)
RR
Vermont(10/7/2024)
RR
Virgin Islands(2/18/2025)
RR
Virginia(2/18/2025)
RR
Washington(2/18/2025)
RR
West Virginia(2/18/2025)
RR
Wisconsin(2/18/2025)
RR
Wyoming(2/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
C&
COHEN & STEERS CAPITAL MANAGEMENT INC.
COHEN & STEERS | COHEN & STEERS CAPITAL MANAGEMENT, INC. | COHEN & STEERS CAPITAL MANAGEMENT INC.
CRD#: 106266 / SEC#: 801-27721
RIA
Registered Investment Advisory firm - (8/7/1986 Approved)New York
Registered Investment Advisory firm - (3/28/2003 Cancelled)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1166 Avenue Of The Americas 30th Floor, New York, NY 10036
Mailing Address
Phone number
(212) 832-3232
Established
Firm type
Fiscal year end
# of Employees
357
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 169 |
| AUM (Assets Under Management) | $ 80,991,295,731 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
