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James B Rothwell

Morgan Stanley

San Francisco, CA

CRD 7281565

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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:

Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-12-06
TX RA APPROVED 2022-12-06
  • CA RA
    APPROVED
    Since 2022-12-06
  • TX RA
    APPROVED
    Since 2022-12-06

Branch Locations

101 California Street 23Rd Floor, San Francisco, CA 94111 • 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
Diablo Valley College Pleasant Hill CA 08/2014 05/2018
Kaiser Permanente Pleasant Hill CA 07/2019 08/2019
Equitable Advisors, Llc New York NY 10/2020 05/2022
University Of San Diego San Diego CA 09/2018 05/2020
Unemployed Pleasant Hill CA 06/2018 06/2019
Unemployed Pleasant Hill CA 06/2020 09/2020
Morgan Stanley Smith Barney Llc San Francisco CA 06/2022 Present
  • 08/2014 → 05/2018
    Diablo Valley College
    Pleasant Hill, CA
  • 07/2019 → 08/2019
    Kaiser Permanente
    Pleasant Hill, CA
  • 10/2020 → 05/2022
    Equitable Advisors, Llc
    New York, NY
  • 09/2018 → 05/2020
    University Of San Diego
    San Diego, CA
  • 06/2018 → 06/2019
    Unemployed
    Pleasant Hill, CA
  • 06/2020 → 09/2020
    Unemployed
    Pleasant Hill, CA
  • 06/2022 → Present
    Morgan Stanley Smith Barney Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-29
S63 Uniform Securities Agent State Law Examination 2021-06-02
  • S65 Uniform Investment Adviser Law Examination
    2022-11-29
  • S63 Uniform Securities Agent State Law Examination
    2021-06-02
Other Names
  • James Bradford Rothwell

View on SEC IAPD

Nearby Firms

FORT POINT CAPITAL PARTNERS LLC
DIVISAR CAPITAL MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.

Nearby Investors

TIMOTHY TODD MCDOWELL
JOHN HUGH MCDEVITT
JOSEPH WADE PITTS

Nearby Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA

More in San Francisco, CA

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