Best Investors Account Sign in

Roobina Yahya

Morgan Stanley

Rolling Hills Estates, CA

Claim This Profile
Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-01
TX RA APPROVED_RES 2025-03-28
  • CA RA
    APPROVED
    Since 2025-04-01
  • TX RA
    APPROVED_RES
    Since 2025-03-28

Branch Locations

609 Deep Valley Drive Suite 400, Rolling Hills Estates, CA 90274 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Century City CA 04/2011 03/2025
Morgan Stanley Smith Barney Llc Rolling Hills Estates CA 03/2025 Present
  • 04/2011 → 03/2025
    Rbc Capital Markets, Llc
    Century City, CA
  • 03/2025 → Present
    Morgan Stanley Smith Barney Llc
    Rolling Hills Estates, CA
Previous Registrations
  • 2011-04-05 → 2025-04-11
    Rbc Capital Markets, Llc
    Century City, CA
    Rolling Hills, CA
    Tujunga, CA
  • 2004-07-20 → 2011-04-15
    Oppenheimer & Co. Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2002-01-30 → 2004-07-21
    Morgan Stanley Dw Inc.
    Glendale, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-24
S63 Uniform Securities Agent State Law Examination 1997-10-23
  • S65 Uniform Investment Adviser Law Examination
    1997-10-24
  • S63 Uniform Securities Agent State Law Examination
    1997-10-23

View on SEC IAPD

Other Firms

KEYMARK FINANCIAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
WELLS FARGO CLEARING SERVICES, LLC
LPL FINANCIAL LLC
RAYMOND JAMES & ASSOCIATES, INC.
RBC CAPITAL MARKETS, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
INDEPENDENT FINANCIAL GROUP, LLC

Other Investors

MARK ANTHONY BOUJIKIAN
MICHELLE NUTTMAN
JOHN ANDRAOS
JOHN BACICH
JOSHUA KONDO
BRANDON DAVID BERNSTEIN
JAMES ROBERTRYAN WHEAT
JEANNIE MARIE MABRY

Other Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO CLEARING SERVICES, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
LPL FINANCIAL LLC · RANCHO PALOS VERDES, CA
RAYMOND JAMES & ASSOCIATES, INC. · ROLLING HILLS ESTATES, CA
RBC CAPITAL MARKETS, LLC · Rolling Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROLLING HILLS ESTATES, CA

More in Rolling Hills Estates, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor