Stifel, Nicolaus &
47yrs
Top 1% for experience in Houston
47yrs
Penny Nissley Rozelle
Financial advisor at Merrill Lynch, Pierce, Fenner & Smith
At a glance
Experience47 years (since 1980)
How that compares ?Top 1% for experience in Houston
Office800 Capitol ST, Houston, TX 77002
How the firm is paid ?Percent of assets, Flat fee, Commissions
States licensed ?1 state
Services through Merrill Lynch, Pierce, Fenner & Smith
Investment management for individuals and small businessesInvestment management for businesses and institutionsRetirement plan consultingChoosing other investment managersEducational seminars and workshopsOther services
Specialties, designations like CFP®, and languages spoken appear here when advisors claim their profiles.
Licenses
Exams passed, from the official record. Tap a license to see what it allows.
Uniform Securities Agent State Law Examination
Uniform Combined State Law Examination
Career
- 1989 – nowMerrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent firm
Questions to ask Penny
Tailored to Penny’s registration and firm.
- What's your succession plan, and who would work with me if you retire?
- At a firm this size, will I work with you directly or with a service team?
- If you use outside managers, how are they chosen and what do they cost on top of your fee?
- Where would my money be held, and will I get statements directly from that firm?
- What would I pay in total each year, in dollars, including fund and trading costs?
About Penny
How do I contact Penny?
Call Merrill Lynch, Pierce, Fenner & Smith at 800-637-7455 and ask for Penny Nissley Rozelle. Penny works from the Houston, TX office.
How long has Penny been a financial advisor?
Penny has been in the industry since 1980, about 47 years. Top 1% for experience in Houston.
What licenses does Penny hold?
Series 63, Series 66. Tap any license on this page to see what it allows.
Is Penny a fiduciary?
Penny is registered as an investment advisor representative, which carries a fiduciary duty when giving investment advice.
How is Penny paid?
Merrill Lynch, Pierce, Fenner & Smith reports being paid by a percentage of the assets they manage, flat or fixed fees, commissions on some products. Ask Penny for your total yearly cost in dollars.
Official record as of October 2, 2026.
This profile is for information only and is not financial advice or a recommendation.
Other advisors nearby
Stifel, Nicolaus &
47yrs
Top 1% for experience in Houston
Symphony Financial
47yrs
Top advisor for experience at Symphony Financial
Wells Fargo Advisors
47yrs
Top 1% for experience in Houston
Raymond James & Associates
47yrs
Top 1% for experience in Houston
RBC Capital Markets
47yrs
Randy Scott Nelson
Financial advisor
2 Post Oak Central 1980 Post Oak Blvd, Suite 1630 & 1525
Houston, TX 77056
Houston, TX 77056
Top 1% for experience in Houston