Roderick Charles Webb

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-09-05
TX	RA	APPROVED_RES	2023-09-05

CA RA
APPROVED

Since 2023-09-05
TX RA
APPROVED_RES

Since 2023-09-05

Branch Locations

4309 Hacienda Drive Suite 200, Pleasanton, CA 94588 • United States

1333 North California Boulevard Suite 133, Walnut Creek, CA 94596 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
E*Trade Securities Llc	Palo Alto	CA	09/2015	12/2019
E*Trade Capital Management Llc	Palo Alto	CA	09/2015	12/2019
E*Trade Capital Management Llc	Cupertino	CA	12/2019	09/2023
Morgan Stanley Smith Barney Llc	Pleasanton	CA	03/2023	Present

09/2015 → 12/2019

E*Trade Securities Llc

Palo Alto, CA
09/2015 → 12/2019

E*Trade Capital Management Llc

Palo Alto, CA
12/2019 → 09/2023

E*Trade Capital Management Llc

Cupertino, CA
03/2023 → Present

Morgan Stanley Smith Barney Llc

Pleasanton, CA

Previous Registrations

2015-09-18 → 2023-09-05

Harrisdirect Llc

Palo Alto, CA

Arlington, VA

Cupertino, CA

Cupertino, CA
2012-08-07 → 2015-09-04

Strategic Advisers Llc

Orland Park, IL
2006-09-27 → 2012-03-06

Harrisdirect Llc

Jersey City, NJ
2003-12-10 → 2004-08-18

Ameriprise Advisor Services, Inc.

Chicago, IL
2003-02-19 → 2003-12-11

Transamerica Financial Advisors, Inc.

Metairie, LA

Other Businesses

1. Name: NOLA Music Studios, LLC 2. Investment-related: No 3. Address: 432 N Canal Street, Suite 11, South San Francisco, California 94080 4. Nature: Recording Studio 5. Position: Owner 6. Start Date: 1/2/2019 7. Approx number of hrs/mth devoted to the other business: 20 8. Number of hrs devoted during securities trading hrs: 0 9. Duties: Provide use of the facility, equipment and instruments to music producers for developing their music projects. The space is currently operational but it has not been available for others to access.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-12-22
S63	Uniform Securities Agent State Law Examination	1997-12-08

S65 Uniform Investment Adviser Law Examination

1997-12-22
S63 Uniform Securities Agent State Law Examination

1997-12-08

View on SEC IAPD