Stephanie L. Roman

FIRST MANHATTAN CO. LLC

New York, NY 10022

Some features on this profile are disabled

CRD#: 7756966

Professional summary

Stephanie Lynn Roman, who also goes by Stephanie Roman, is a registered financial advisor currently at FIRST MANHATTAN CO. LLC located in New York, New York and FIRST MANHATTAN SECURITIES LLC located in New York, New York.

Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Stephanie has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie Roman

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Lynn Roman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 4, 2025 - Present

FIRST MANHATTAN CO. LLC

Office #1: 399 Park Avenue, New York, NY 10022

RIA

CRD#: 325281

New York, NY

Current

September 4, 2025 - Present

FIRST MANHATTAN SECURITIES LLC

Office #1: 399 Park Avenue, New York, NY 10022

CRD#: 1845

New York, NY

Past

April 9, 2024 - August 27, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Iselin, NJ

Past

February 5, 2024 - August 27, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

Iselin, 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".

FIRST MANHATTAN CO. LLC

CRD#: 325281 / SEC#: 801-12411

RIA

Registered Investment Advisory firm - (1/13/1977 Approved)

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.

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

New Jersey
(9/4/2025)

New York
(9/4/2025)

IAR

New York
(9/4/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/8/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/5/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/11/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN CO. LLC

CRD#: 325281 / SEC#: 801-12411

RIA

Registered Investment Advisory firm - (1/13/1977 Approved)

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

399 Park Avenue, New York, NY 10022

Mailing Address

Phone number

(212) 756-3300

Established

Firm type

Fiscal year end

# of Employees

132

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST MANHATTAN BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,722
AUM (Assets Under Management)	$ 34,439,571,092

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/25/2024	Cover Page	Report
11/28/2023	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephanie L. Roman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Lynn Roman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST MANHATTAN SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

FIRST MANHATTAN CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2024

Series 7TO

Date: 2/5/2024

SIE

Date: 3/11/2023

FINRA

Nasdaq Stock Market

Current Firm

FIRST MANHATTAN CO. LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST MANHATTAN CO. LLC

TRUST BUT VERIFY

Similar Advisors