Sergio Michael Rosa

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 05/2022
  Morgan Stanley
  New York, NY
• 11/2016 → 05/2022
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 05/2022 → Present
  Lpl Financial Llc
  Rockville Centre, NY

Previous Registrations

• 2016-08-05 → 2022-06-13
  Morgan Stanley
  New York, NY
• 2010-01-09 → 2016-08-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY

Other Businesses

1) 05/27/2022 - Rosa Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/27/2022 - 160 Hr/Mth 8 Hours During Securities Trading 2) 06/05/2023 - Colonial Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 05/22/2023 - 1 Hour Per Month/ 0 Hours During Securities Trading 3) 07/08/2025 - Swiftlane, Inc - Not Inv Rel - At Reported Business Location(s) - Other - Referral Business - Start date: 07/02/2025 - 1 Hour Per Month/ 0 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2009-12-31
• S63 Uniform Securities Agent State Law Examination
  1999-12-02

Other Names

• Sergio Michael Rosa
• Sergio M Rosa
• Sergio Michael Rosa