Ralph L Rogers

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  White Plains, NY
• 11/2016 → 08/2020
  Wells Fargo Clearing Services, Llc
  White Plains, NY
• 08/2020 → Present
  Morgan Stanley Smith Barney Llc
  Purchase, NY
• 10/2020 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2015-06-12 → 2020-08-11
  Wells Fargo Clearing Services, Llc
  Purchase, NY
  White Plains, NY

Other Businesses

2)NETWORKING PROFESSIONALS OF WESTCHESTER; NOT INVESTMENT RELATED; HAWTHORNE, NY; NETWORKING ORGANIZATION; PRESIDENT; START DATE = 09/01/2008; 3 HOURS DEVOTED PER MONTH; NONE DURING TRADING HOURS; DUTIES INCLUDE LEADING THE MEETINGS HELD EVERY TWO WEEKS.

Exams

• S66 Uniform Combined State Law Examination
  2006-11-22

Other Names

• Ralph L Rogers