Luis A Alfonso

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Current Employers

Morgan Stanley

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

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2022-04-11
TX	RA	APPROVED_RES	2020-02-20
MD	RA	APPROVED	2013-06-26

DC RA
APPROVED

Since 2022-04-11
TX RA
APPROVED_RES

Since 2020-02-20
MD RA
APPROVED

Since 2013-06-26

Branch Locations

702 King Farm Boulevard Suite 500, Rockville, MD 20850 • 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
Morgan Stanley	Rockville	MD	06/2013	Present
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	Present

06/2013 → Present

Morgan Stanley

Rockville, MD
01/2015 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2012-10-26 → 2013-07-18

Hsbc Securities (Usa) Inc.

Washington, DC

Washington, DC

Potomac, MD

Arlington, VA

Bethesda, MD

Rockville, MD
2011-05-25 → 2012-10-16

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-05-13

S66 Uniform Combined State Law Examination

2011-05-13

Other Names

Luis A Alfonso-Rosello

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NAVY FEDERAL INVESTMENT SERVICES, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

J.P. MORGAN SECURITIES LLC

UNITED BROKERAGE SERVICES, INC

PROFIT INVESTMENTS

ORTMAN FINANCIAL PLANNING

Other Investors

JOHN BRIAN OETTINGER

JORDAN SCOTT KRAUS

Anna Laureys Squier

JASON SCOTT COHEN

JENNIFER CHRISTINE PASCAL

Annalise Taylor Haywood

Liam Christopher Sweet

Other Offices

LPL FINANCIAL LLC · ROCKVILLE, MD

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ROCKVILLE, MD

NAVY FEDERAL INVESTMENT SERVICES, LLC · Rockville, MD

STATE FARM INVESTMENT MANAGEMENT CORP. · N Bethesda, MD

J.P. MORGAN SECURITIES LLC · Rockville, MD

UNITED BROKERAGE SERVICES, INC · ROCKVILLE, MD

PROFIT INVESTMENTS · NORTH BETHESDA, MD

ORTMAN FINANCIAL PLANNING · NORTH BETHESDA, MD

More in Rockville, MD

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