James Michael Rosica

Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-04-25
TX	RA	APPROVED	2025-04-25

NY RA
APPROVED

Since 2025-04-25
TX RA
APPROVED

Since 2025-04-25

Branch Locations

58 South Service Road Suite 400, Melville, NY 11747 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Melville	NY	01/2012	04/2025
Morgan Stanley Smith Barney Llc	Melville	NY	04/2025	Present
Morgan Stanley Private Bank, N.A	New York	NY	06/2025	Present

01/2012 → 04/2025

Ubs Financial Services Inc.

Melville, NY
04/2025 → Present

Morgan Stanley Smith Barney Llc

Melville, NY
06/2025 → Present

Morgan Stanley Private Bank, N.A

New York, NY

Previous Registrations

2021-10-26 → 2025-05-06

Ubs Financial Services Inc.

Melville, NY

Other Businesses

*638174 - Southward Ho Country Club; Investment related-No; Bayshore, New York; Recreation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 01/2024; During business hours: 0; After business hours: 2; Membership director.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1997-11-28

S63 Uniform Securities Agent State Law Examination

1997-11-28

Other Names

Jamie Rosica

View on SEC IAPD