Antonio Da Roza
Advisor at Merrill
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
About
Antonio Da Roza is a Private Wealth Advisor with Merrill Private Wealth Management, where he leads the strategic process for his team. He has been in the financial services industry since 1989 and has held positions including Director of Investments at Morgan Stanley Private Wealth Management until 2011.
Throughout his career, Antonio has worked closely with entrepreneurs, corporate executives, and their top employees. His expertise includes developing customized strategies focused on wealth preservation and enhancement, intergenerational wealth transfer, charitable giving, corporate executive services, family wealth management strategies, legacy planning, and managing new wealth.
Antonio holds a B.S. in Finance and Banking from San Francisco State University and the Certified Investment Management Analyst® (CIMA®) designation. He lives in Hillsborough, California with his wife and two daughters. His personal interests include golfing, skiing, surfing, and tennis.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Expertise
Wealth management
Charitable giving & philanthropy
General estate planning guidance
Occupation focus
Executive
Founder/Business Owner
Work history
Bank Of America, N.A.
2011 - Present (15 years)
Merrill Lynch, Pierce, Fenner & Smith Incorporated
2011 - Present (15 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
Diana B
Series 66
Watsonville, CA
Edward Jones
Ryan O
Series 63, Series 66
Aptos, CA
Edward Jones
Zachary B
CFP®, Series 63, Series 66
Scotts Valley, CA
Edward Jones
William Y
Series 63, Series 65
Corralitos, CA
Merrill
William Yates is a Senior Financial Advisor with Merrill Lynch Wealth Management. He has been in the financial services industry since 1984 and joined Merrill Lynch in 2004. In his role, he collaborates closely with clients to design long-term strategies aimed at achieving their life goals. He holds a Bachelor's Degree in Business/Economics from the University of California, Santa Barbara, earned in 1982, and holds the Personal Investment Advisor (PIA) designation. His consultative process customizes solutions based on each client's individual risk tolerance, time horizon, liquidity needs, investment goals, and cost considerations. His areas of focus include retirement planning, education funding, home buying, business growth, legacy building, and philanthropy. Outside of his professional work, William Yates serves as the Chair of BACCV. He is married to Deborah and is a father and grandfather.
Aaron B
Series 66
Felton, CA
Edward Jones
Jeremy G
CFP®, Series 66
Capitola, CA
Edward Jones
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