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Nicholas Robert Rocca

Morgan Stanley

Grand Rapids, MI

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-07-16
MI RA APPROVED 2011-11-04
  • TX RA
    APPROVED_RES
    Since 2016-07-16
  • MI RA
    APPROVED
    Since 2011-11-04

Branch Locations

5122 Cascade Road 1St Floor, Grand Rapids, MI 49546 • 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
Morgan Stanley Smith Barney Llc Grand Rapids MI 08/2011 Present
Morgan Stanley Private Bank, N.A. New York NY 01/2015 Present
  • 08/2011 → Present
    Morgan Stanley Smith Barney Llc
    Grand Rapids, MI
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A.
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-03
  • S66 Uniform Combined State Law Examination
    2011-11-03
Other Names
  • Nicholas Robert-Monroe Rocca

View on SEC IAPD

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