James Anthony Rooney

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-10-14
TX	RA	APPROVED_RES	2020-05-05
CT	RA	APPROVED	2009-06-01

FL RA
APPROVED

Since 2021-10-14
TX RA
APPROVED_RES

Since 2020-05-05
CT RA
APPROVED

Since 2009-06-01

Branch Locations

Winter Garden, FL • United States

433 South Main Street, West Hartford, CT 06110 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	West Hartford	CT	06/2009	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2009 → Present

Morgan Stanley Smith Barney

West Hartford, CT
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2001-01-02 → 2009-06-01

Citigroup Global Markets Inc.

Hartford, CT

West Hartford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-08-09
S63	Uniform Securities Agent State Law Examination	1988-02-08

S65 Uniform Investment Adviser Law Examination

1995-08-09
S63 Uniform Securities Agent State Law Examination

1988-02-08

Other Names

James A Rooney

View on SEC IAPD