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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

GWENAELLE ROMAIN

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AVENTURA, FL | Aventura, FL

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Search this name across graphsid dfx:ria:97716f59-203f-7e6d-b346-e59184a219bb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S66
First exam: Jan 23, 2006
First registration: Mar 14, 2006
Dual registered: yes, broker-dealer
Other names: GWENAELLE ANNE ROMAIN|GWENAELLE A ROMAIN
IAPD individual key: 5069390

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 18, 2017	n/a	yes	AVENTURA, FL\|Aventura, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 10, 2009	Feb 18, 2014	no	AVENTURA, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 30, 2009	Nov 24, 2009	no	MIAMI SHORES, FL\|NORTH MIAMI, FL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 1, 2007	May 13, 2009	no	Hallandale Beach, FL	Previous registration
INVESTOR SOLUTIONS	Former SEC adviser	Mar 14, 2006	Jul 24, 2007	no	COCONUT GROVE, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 24, 2009	Dec 10, 2009	16	Firm change	Other
UBS FINANCIAL SERVICES INC.	CHASE INVESTMENT SERVICES CORP.	May 13, 2009	Jul 30, 2009	78	Firm change	Other
INVESTOR SOLUTIONS	UBS FINANCIAL SERVICES INC.	Jul 24, 2007	Nov 1, 2007	100	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 10, 2009 to Feb 18, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 30, 2009 to Nov 24, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 1, 2007 to May 13, 2009factForm ADV
→ INVESTOR SOLUTIONSRegistered adviserregistration: previous registration
Mar 14, 2006 to Jul 24, 2007factForm ADV

Dated events

No dated event names this entity yet.